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How to Use the 3M Lean Six Sigma Guide Book
How do I make use of this 3M Lean Six Sigma Guide Book?
The 3M Lean Six Sigma Guide Book has been designed for your use during class and as a reference tool
while working on your projects.
How is the 3M Lean Six Sigma Guide Book arranged?
Arranged around the project roadmap, the 3M Lean Six Sigma Guide Book has a separate section for each
phase. The appropriate tools are highlighted within the sections. A Table of Contents is located at the
front of the book to guide you to specific pages.
What are key areas in the 3M Lean Six Sigma DMAIC Guide Book?
The 3M Lean Six Sigma Guide Book contains the following areas within each of the tools:
Steps and Roadmaps highlight the steps needed to complete a tool.
Hints are recommendations on how to effectively use the tool.
Pitfalls are cautionary notes on potential difficulties and problems that can be encountered using
the tool.
Checklists are questions to review to ensure the key items have been covered in the tool and/or
DMAIC phase.
Lessons Learned is the area where you can make your own notes.
The Appendix contains a listing of frequently used terms and additional tools and resources to
help with projects.
How can I order more copies or see an electronic copy of the 3M Lean Six Sigma Guide Book?
To order more copies (or to view an electronic version) of the Lean Six Sigma Guidebook, go to the Lean Six Sigma
Work Center on 3M Source and look under Lean Six Sigma Services > Learning Resources > Methodologies >
Methodology Comparison.

What Resources Are Available to You?


Multiple resources exist to help you on your project (internal 3M use only). They include:

Your Black Belt and Master Black Belt


Your Division Coach and Green Belt Coaches
Lean Six Sigma Coaches (3M Lean Six Sigma Operations Department)
3M Lean Six Sigma Hotline: (651) 736-7446
Email 3M Lean Six Sigma Hotline: LeanSixSigmaOperations
3M Lean Six Sigma Work Center:
http://3msource.mmm.com/wps/myportal/3M/en_US/Lean_Six_Sigma/Work_Center_Home/
Minitab and BP Chart (search for Minitab or BPChart in Tool Selector):
http://3msource.mmm.com/wps/myportal/3M/en_US/Lean_Six_Sigma/Work_Tools/SoftwareTools/
Global Project System (GPS): http://intra3.mmm.com/globalprojectsystem ; (GPS Helpline = (651)
575-6042) ; email = GPSHelpline
Minitab support: http://www.minitab.com
Other: http://www.isixsigma.com , http://mathworld.wolfram.com ,
http://www.statsoft.com/textbook/stathome.html , http://lean.org/, http://isixsigma.com
3M 2004-2008 All rights reserved. Further reproduction, in whole or in part, is prohibited
without the permission of 3M.

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Table of Contents
I. Lean Six Sigma Overview: Thought Process for Choosing the Best Approach ................ 8
A.
B.
C.
D.
E.
F.
G.
H.
I.
J.

Right Problem, Right Project, Right Tool, Right Purpose.................................................. 8


General Problem Solving Approaches and Lean Six Sigma............................................... 9
Overview of Lean Six Sigma Problem Solving .................................................................. 9
Business Value Design/Improvement Pyramid ................................................................ 10
DMAIC ............................................................................................................................. 11
Business Process Redesign (BPR) .................................................................................... 11
Lean .................................................................................................................................. 12
Process & Product Understanding (PPU) ......................................................................... 13
PDCA vs. DMAIC ............................................................................................................ 14
DMAIC Methodology....................................................................................................... 20
Define: What is happening now? ..............................................................................20
Measure: What is the root cause of the defects? .......................................................20
Analyze: How can I use data to understand the root cause? .....................................20
Improve: What improvements can we put into place to eliminate the root cause? ...20
Control: What controls will ensure the root cause is permanently resolved?............21
Key Terms: .................................................................................................................21

II. Define/Initiate ........................................................................................................................ 22


A. Defining the Challenge ..................................................................................................... 22
B. Project Charter .................................................................................................................. 26
Questions Used To Identify Good Projects ................................................................26
Project Evaluation Tool..............................................................................................26
Key Elements of a Project Charter .............................................................................27
Project Chartering Tips ..............................................................................................29
Common Project Chartering Pitfalls ..........................................................................29
Project Y Evaluation Tool..........................................................................................29
Project Charter Quality Scorecard Tool .....................................................................30
Task-Oriented Projects ...............................................................................................31
Project Charter Checklist............................................................................................32
Next Steps ..................................................................................................................32
Lessons Learned.........................................................................................................32
C. Other Tools ....................................................................................................................... 32
Define Phase Completion Checklist........................................................................32
III. Measure/Investigate Part 1................................................................................................... 33
A. Quick Improvements / Quick Hits .................................................................................... 33
5S Sort Set Shine Standardize - Sustain .........................................................33
Visual Management/Visual Control ...........................................................................36
B. Mapping the Process ......................................................................................................... 38
Steps to Create a Process Map ...................................................................................38
Elements of a Good Process Map...............................................................................40
Process Mapping Tips ................................................................................................40
Common Process Mapping Pitfalls ............................................................................40
Process Map Checklist ...............................................................................................41
Next Steps ..................................................................................................................41
Lessons Learned.........................................................................................................41
Business Process Redesign Cross-functional Maps ................................................42
Process Disconnects ...................................................................................................43
Value Stream Mapping (VSM) ..................................................................................44
C. Cause and Effects (C&E) Matrix...................................................................................... 51
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D.

E.

F.
G.

H.

I.

J.

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Steps to Create a C&E Matrix (General Method) ......................................................51


C&E Matrix Hints ......................................................................................................53
Common C&E Matrix Pitfalls....................................................................................53
C&E Matrix Checklist................................................................................................53
Next Steps ..................................................................................................................54
Lessons Learned.........................................................................................................54
Failure Modes & Effects Analysis (FMEA) ..................................................................... 55
Steps to Create an FMEA...........................................................................................55
FMEA Tips.................................................................................................................59
Common FMEA Pitfalls.............................................................................................60
FMEA Checklist.........................................................................................................60
Next Steps ..................................................................................................................60
Lessons Learned.........................................................................................................60
Types of Data.................................................................................................................... 61
Discrete (Attribute or Qualitative)...........................................................................61
Continuous (Variables or Quantitative)...................................................................61
Count ..........................................................................................................................61
Graphs............................................................................................................................... 62
Data analysis tasks for improvement..........................................................................62
Basic Statistics .................................................................................................................. 63
Measures of Central Tendencies ................................................................................63
Measures of Variability ..............................................................................................63
Normal Distribution ...................................................................................................64
Preliminary Data Analysis..........................................................................................65
Statistical Process Control (SPC)...................................................................................... 66
Common Cause & Special Cause Variation...............................................................66
Control Charts ............................................................................................................68
Control Limits ............................................................................................................68
Two Ways to Create Control Charts (Minitab or BPChart) .......................................69
Types of Control Charts (and When to Use Them)....................................................69
Capability Studies ............................................................................................................. 72
Steps to Follow...........................................................................................................72
Attribute (Discrete) Data Capability ..........................................................................73
Continuous Data Capability .......................................................................................74
Capability Studies Tips ..............................................................................................76
Common Capability Studies Pitfalls ..........................................................................76
Capability Studies Checklist ......................................................................................77
Next Steps ..................................................................................................................77
Lessons Learned.........................................................................................................77
Determining Data Integrity - Measurement Systems Analysis (MSA) and Test Methods78
Issue 1: Data Integrity ...............................................................................................78
Data Integrity Checklist of Questions to Answer .............................................78
Issue 2: Data Reliability ............................................................................................79
Data Reliability Checklist of Questions to Answer ..........................................79
Data Reliability Terminology ...........................................................................80
Data Reliability Ways to Verify .......................................................................81
Audits...................................................................................................................81
Gage R&R Studies...............................................................................................82
Attribute Agreement Studies................................................................................84
Attribute Measurement Systems Improvement Techniques ................................85
MSA Tips ...................................................................................................................86
Common Process MSA Pitfalls ..................................................................................86
MSA Checklist ...........................................................................................................86

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Next Steps ..................................................................................................................86
Lessons Learned.........................................................................................................86
IV. Analyze/Investigate Part 2 .................................................................................................... 87
A. Multi-Vari Planning and Analysis .................................................................................... 87
Cautions with a Multi-Vari Study ..............................................................................87
Steps to Conducting a Multi-Vari Study ....................................................................87
Multi-Vari Tips...........................................................................................................91
Common Multi-Vari Analysis Pitfalls........................................................................92
Reporting Multi-Vari Results .....................................................................................92
Multi-Vari Checklist...................................................................................................92
Next Steps ..................................................................................................................92
Lessons Learned.........................................................................................................92
B. Survey/Questionnaire Tip Sheet ....................................................................................... 93
C. Hypothesis Testing............................................................................................................ 95
Steps to Test an Hypothesis........................................................................................95
Decision Errors...........................................................................................................96
Signal to Noise ...........................................................................................................96
Hypothesis Testing versus Confidence Intervals .......................................................96
Sample Size Cookbook ..............................................................................................97
Minitab Example..................................................................................................98
Excel Examples....................................................................................................99
D. Statistical Tests ............................................................................................................... 100
Which Statistical Test Do I Use?..............................................................................100
How Do I Stack My Data? .......................................................................................100
Chi-Square................................................................................................................101
1-sample t-Test .........................................................................................................103
2-sample t-Test .........................................................................................................104
Paired t-Test .............................................................................................................106
Test for Equal Variances (a.k.a. Levenes Test).......................................................108
Analysis of Variance (ANOVA) ..............................................................................110
Main Effects Plot......................................................................................................112
Individual Value Plot................................................................................................113
Regression/Correlation.............................................................................................114
Residuals Model Adequacy ............................................................................115
Matrix Plot................................................................................................................119
Analyze Phase Completion Checklist ...................................................................120
V. Improve/Execute.................................................................................................................. 121
A. Ideation ........................................................................................................................... 122
Design of Experiments (DOE) Planning and Execution ..........................................122
Should Map & RACI................................................................................................125
Future State Value Stream Map ...............................................................................127
Kaizen Events...........................................................................................................127
Brainwriting, Double Reversal, SCAMPER, Random Word...................................128
Mistake Proofing ......................................................................................................130
B. Implementation, Verification and Testing ...................................................................... 132
Design FMEA (dFMEA)..........................................................................................132
Structured Walkthrough ...........................................................................................132
Pilot Study ................................................................................................................132
Simulation ................................................................................................................133
Improve Phase Checklist ..........................................................................................133
Lessons Learned.......................................................................................................133

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VI. Control.................................................................................................................................. 134
A. Control Plan .................................................................................................................... 134
What should be in a Control Plan? ...........................................................................134
Control Plans Common Pitfalls.............................................................................136
Control Plans Hints ...............................................................................................136
Steps to Create a Control Plan..................................................................................136
B. Standard Work with layered audits................................................................................. 137
C. Mistake Proofing............................................................................................................. 138
D. Data Packages ................................................................................................................. 140
Next Steps ................................................................................................................142
Lessons Learned.......................................................................................................142
Control Phase Completion Checklist.....................................................................142
Appendix 1 Key Terms........................................................................................................... 143
Appendix 2 One Minute Project Checklist ........................................................................... 155
Appendix 3 Data Analysis Flow Chart.................................................................................. 156
Appendix 4 Six Sigma Project Types .................................................................................... 157
Appendix 5 Kickoff Meeting Checklist Pre-work and During Meeting ......................... 158
Before Kickoff Meeting ...........................................................................................158
During Kickoff Meeting...........................................................................................158
After Kickoff Meeting..............................................................................................158
Appendix 6 Analysis Roadmap Full and Fractional Factorial DOEs............................ 159
Typical DOE Setup/Analyze ....................................................................................160
DOE Analysis: Factor Significance ..................................................................161
DOE Analysis: Factorial Plots ..........................................................................162
DOE Analysis: Checking Model Validity with Centerpoints...........................163
DOE Analysis: Equations .................................................................................164
Appendix 7 Change Acceptance Tools .................................................................................. 165
Link DMAIC and Change Acceptance Tools ..........................................................165
15 Words ..................................................................................................................166
Communication Plan ................................................................................................167
Elevator Speech........................................................................................................168
Force Field Analysis.................................................................................................169
G.R.P.I. Checklist.....................................................................................................170
In/Out of Frame ........................................................................................................171
More Of/Less Of ......................................................................................................172
Polarity Map.............................................................................................................173
RACI Matrix.............................................................................................................174
Stakeholder Analysis................................................................................................175
Strengths, Weaknesses, Opportunities, Threats (SWOT).........................................177
Team Composition Matrix .......................................................................................178
Team Performance Model ........................................................................................179
Technical Political Cultural Analysis.................................................................181
Transition Map .........................................................................................................182
WIIFM......................................................................................................................183
Appendix 8 Keyboard Shortcuts ........................................................................................... 184
Windows...................................................................................................................184
Most Applications ....................................................................................................184
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Minitab .....................................................................................................................185
Word.........................................................................................................................185
PowerPoint ...............................................................................................................186
Excel.........................................................................................................................187
Lotus Notes ..............................................................................................................187
NetMeeting...............................................................................................................187
Appendix 9 Changing the Order of Categories/Groups in Minitab Graphs ..................... 188
Appendix 10 Project Management Basics ............................................................................ 189
Appendix 11 Roles and Responsibilities................................................................................ 197
Champion .................................................................................................................197
Process Owner..........................................................................................................197
Team Member ..........................................................................................................197
Green Belt (GB) .......................................................................................................197
Black Belt (BB) ........................................................................................................197
Master Black Belt (MBB) ........................................................................................198
Coach........................................................................................................................198
Finance .....................................................................................................................198
Appendix 12 Business Process Redesign Choosing this Method ..................................... 199

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I. Lean Six Sigma Overview: Thought Process for Choosing the
Best Approach
A. Right Problem, Right Project, Right Tool, Right Purpose
There are many process improvement and problem solving methods and tools being used in the world
today. Each of them has their own level of effectiveness. Even here at 3M we use different methods and
tools. The one constant is to select the right thinking and the right tool for the right project at the right
time. There is no one-size-fits-all. Each tool has its own purpose and expected outcome. The key to
having the highest effectiveness possible is to choose the right tool for the right purpose within the
project. The analysis of the problem situation will determine the best overall approach, and then the best
tool at the time.
When you have a problem to solve or a process to improve, you first thought is often, Where do I start so
I can get through this and back to normal as soon as possible? This guidebook and the courses associated
with it are intended to show you the way to choose the right method and tool to help your situation. You
will be introduced to the overall umbrella using the phases labeled Define (how to define what the goal of
the project will be), Measure (identifying the current situation), Analyze (what can the data tell us about
the current situation), Improve (what improvement options are there, and which options are most likely to
improve the situation) and Control (how can we sustain the gains weve gotten in the Improve phase).
Then youll see the details around the thinking and the tools of 1) DMAIC, 2) Business Process Redesign
(BPR), 3) Lean, and 4) Process and Product Understanding (PPU). Each of these methods/tool sets has
their own focus. You will determine which is best suited to solve the problems related to your situation.
And even within these methods, you will again choose which tools are the right ones to choose for your
situation.

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B. General Problem Solving Approaches and Lean Six Sigma

C. Overview of Lean Six Sigma Problem Solving

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D. Business Value Design/Improvement Pyramid

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E. DMAIC

F. Business Process Redesign (BPR)

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G. Lean

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H. Process & Product Understanding (PPU)

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I. PDCA vs. DMAIC

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DMAIC Purpose:

Identify, quantify and eliminate sources of variation


Improve and sustain performance with well executed control plans
Growth!

DMAIC Goals:

Breakthroughs achieved in customer satisfaction, growth, cost (productivity), and cash (working
capital)

J. DMAIC Methodology
Lean Six Sigma is a process improvement and business strategy that is built on 3Ms history of
continuous improvement. The DMAIC methodology is a five phase approach to improving existing
processes. The five phases are: Define, Measure, Analyze, Improve, and Control.

Define: What is happening now?


Purpose: Develop a fully defined project by defining and understanding the process to improve and
developing a clear statement of the teams goal. This is documented in the form of a project charter,
which answers these and other questions:
What is the process? series of steps and activities
What is the scope of this Project? boundaries; what is included and excluded
How is the project linked to the business winning strategies? linkage to the business needs
What is the process defect? problems; how the process fails to meet customer needs
What is causing the pain?
What will be measured and how? once we make improvements, what will be measured to
demonstrate the problems are improved

Measure: What is the root cause of the defects?


Purpose: Define the current process and establish metrics. Focus the improvement effort by gathering
information on the current situation.
1. Map the process, identifying the inputs (Xs) and outputs (Ys) of each step.
2. Utilize a Cause & Effects Matrix (C&E) to rate inputs (Xs) against the key project outputs (Ys)
3. Complete a Measurement System Analysis (MSA) to determine whether the measurement system
for the Project Y data is good enough.
4. Gather data to establish baseline performance of the process (project Y data).

Analyze: How can I use data to understand the root cause?


Purpose: Learn about the relationships between the inputs (Xs) and outputs (Ys) and identify potential
sources of process variability. Reduce the number of inputs (Xs) to an important few and verify this with
data.
1. Examine the root cause of the important inputs (Xs) from the Cause & Effects (C&E) matrix
with the Failure Modes & Effects Analysis (FMEA).
2. Gather Multi-Vari data on the process (using surveys, historical data or process observation).
3. Use graphs and statistical analysis to confirm or reject the Critical Inputs (Xs) identified in the
Cause & Effects Matrix (C&E) and Failure Modes & Effects Analysis (FMEA).

Improve: What improvements can we put into place to eliminate the root cause?
Purpose: Verify the critical inputs (Xs) and/or proposed solutions.
Identify and test possible improvements to verify the effect of each of the suspected inputs (Xs) or to
verify the efficacy of a proposed solution.

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Control: What controls will ensure the root cause is permanently resolved?
Purpose: Develop a plan to control the critical inputs (Xs) and monitor the process performance.
Develop procedures and/or implement data monitoring to standardize any changes to the process and to
ensure the process continues to perform at the desired level. Maintain the gains!

Key Terms:

Ys Outputs of Process (Noun)


o Process output variables or customer requirements
o Associated with process performance/defect measures
o Examples: % Lines-on-Time, % Deductions, % Sales by Store, Number rolls produced on line
Xs Inputs to Process (Noun)
o Process input variables
o Associated with the sources of variation
o Examples: Marketing programs, shelf placement of product, type of product, chemical mixture,
manufacturing line

y = f ( x1 , x 2 ,..., x k )

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II. Define/Initiate
A. Defining the Challenge
The key items to consider with defining your challenge are:
What part of the challenge is in your control?
o Ensure the project is something that you and your team can have an impact on.
Who are the key decision makers?
o Ensure the project fits within their understanding of what the challenge is.
o You may be able to influence how they view the challenge
What are the characteristics or nature of the challenge?
o Know the Actual State, Desired State, Gaps, and Barriers.
o Remember the problem is not the gap; the problem is the barrier.

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Define Phase Purpose:
Define and understand the process to be improved and to develop a clear statement of the teams goal
To develop a fully defined project with a working charter
Define Phase Goals:
Project selection driven through business strategy and business critical Ys
Voice of customer incorporated into metrics
Project objectives clearly defined
Project appropriately scoped
Problem Definition Purpose:
To be able to establish the key parts of the process in order to better identify the process to
solve it

B. Project Charter
Project Charter Purpose:
Initiate a Six Sigma project with clear definition of scope and project variables
Clarify what is expected of the team
Keep the team focused
Keep the team aligned with organizational priorities
Project Charter Goals:
Clearly defined project objectives

Questions Used To Identify Good Projects

What is the most important thing(s) on which I am working? Where is the pain?
Which of these things are critical to our business achieving our strategic goals?
What aspect, if changed, would allow me to complete my work in less time, with a better result, and
make my life easier?
What process contains this defect? Is the process itself defective?

Project Evaluation Tool


Compare the project process to the chart below. The further to the right the process matches, the more
difficult the project could be and the more help will be needed from the BB and/or coach.

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Key Elements of a Project Charter
1. Project Y What is the key measure the project is focused on?
a. Most important section of the charter! Must be measurable (physical output of process)!
b. Key process output that will address the defect and improve the Business Critical Y
c. Helps define project scope
d. Used in virtually every Six Sigma tool in DMAIC process
e. Describe what going to accomplish in project
f. Include a statement of Improve/increase/reduce from baseline to goal without harming
counterbalance by timeframe
Baseline Actual performance of process that is to be improved
Goal 70% of the gap between entitlement and baseline (should be a stretch goal)
g. Avoid dollars as project Y (rather source of savings)
h. Do not write solution as project Y
i. Possible measurements and evaluation criteria include:
COPQ (Cost of poor quality) Measurement of documented costs of mistakes or error,
such as complaint costs, rework costs, waste, etc.
Cpk (Process Capability Index) Measurement of a process variables short term
performance. Requires ranges to be defined (preferably by the customer). Cpks less than 1
indicate room for improvement. Cpks greater than 1.33 indicate only limited room for
improvement. (See Capability section for more information.)
Ppk (Process Performance Index) Measurement of process variables long term
performance. Requires ranges to be defined (preferably by the customer). Ppks less than 1
indicate room for improvement. Ppks greater than 1.33 indicate only limited room for
improvement. Ppks greater than 1.5 fulfill Six Sigma requirements. (See Capability
section for more information.)
DPU (Defect per unit) General measurement for the number of errors per unit. Error
is defined as unwanted events (e.g. non-answered telephone calls per day, etc).
RTY (Rolled throughput yield) Measurement of the processs actual yield based on the
individual process steps.
2. Project Y Entitlement What is the best possible performance that has been recently observed or
was observed in a benchmarking study?
a. Provides a performance level for which to aim used to establish realistic stretch goals
b. Defines whats possible
c. Can come from:
Best observed performance over
Performance specified by equipment manufacturer
a short period of time
Observed by benchmarking
Predicted by engineering & scientific fundamentals
3. Process Defect What is the pain we are experiencing that we want to improve?
a. If not described correctly and focused, the project team will not be set up for success
b. Description should be clear, concise, definitive and have measurable outputs
c. Timing should be included to drive need for completion
4. Scope/Boundaries What are the specific limits or confines of the project? What is
included/excluded?
a. Defines the projects focus and boundaries for the team
b. In frame-out of frame criteria (see Appendix), such as:
Process steps included
Site/location
Product lines
Technology
Customer segment
Project budget

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5. Process Definition What are the series of steps or activities where the pain or opportunity exists?
a. Written identification of the process to be improved
b. Helps maintain the proper focus
6. Business Critical Y What is the opportunity as it relates to strategic business goals?
a. Project should show alignment with business team, Division, and Corporate goal trees
b. Set by MBB in partnership with business leaders as high level goal for division, not project
specific
7. Project Metrics What do you need to measure and monitor to determine the success of the project?
a. Primary Y What is the main thing we want to improve? (Very similar to Project Y could
be the same metric)
b. Secondary Y What is something else we are interested in improving? (Optional)
c. Counter-balancing Y What dont we want to negatively impact while improving the
Primary Y?
8. Corporate Critical Y Is the project a Cash, Cost or Growth?
9. Super Y Which of the corporately defined sub-grouping of projects is this project related to? (See
the Global Project System (GPS) website for current Super Ys.)
10. Business Impact What is the financial impact to the company?
a. Clearly defined, mathematical (if possible) description of how to calculate benefits impact
($$$)
b. Must be accepted, supported and validated by the Controller / Finance community
c. If not defined well in the beginning of the project, you may struggle at the end to determine
the financial impact

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Project Chartering Tips

Tackle processes that are within your teams sphere of influence - activities/processes that they do
and that they own
Focus on activities that have pain points; things important in your teams day-to-day jobs. For
example - NOT: "Implement a new product tracking database.(one-time task), but rather: Improve
the process by which new product team members gather and submit new product information
(process needing improvement)
Review other projects that share your projects Super Y. Can you replicate another project?
Include project goals for all measurements including counterbalances if identified.
Use In-Frame/Out-of-Frame (see Appendix) to identify/validate scope of process
Use the Stakeholder Analysis (see Appendix) to identify key players in the project and to find the
right champion.
Review the charter with your Champion, Process Owner, BB, and team to ensure everyone is in
agreement.

Common Project Chartering Pitfalls

Rushing through Project Charter instead of taking time to do it well


Too large or broad of a scope. Micro focused too narrow to have impact. Try to find a bite sized
project one that can be accomplished in 4-6 months.
Having too many metrics (boiling the ocean) or a vague Project Y. Try to identify the key issues
to address for clear team direction.
Process Owner or BB or Champion missing from Project Charter
Having a solution in mind. Do not force your desired solution for the problem into the charter. Be
open to all potential solutions.
Having a task oriented rather than process improvement project. Ideally the project should improve
an entire ongoing process rather than standing alone as a one-time task to be accomplished.
Having dollars in Project Y. Dollars describe the financial benefit of the project. Instead look at the
process that will be improved to gain the financial benefit.
Not having a measurable Y if you cant measure it, you wont know if youve improved it. Work
with your coach to determine how to measure the Y before you dig into the project.

Project Y Evaluation Tool


Compare the Project Y to this chart. The closer the Project Y definition is to the top, the clearer the
project focus. The closer the Project Y definition to the bottom, the more work needed to create clarity.

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Project Charter Quality Scorecard Tool
The scorecard below can be used to score the strength of a project charter. The efficiency of the project
depends on a clearly written, well thought out charter.
Step 1: Team and team leader should review their project charter fields against the lines in the table
below. For each key area listed, rate the project charter:
Green: 3 points
Yellow: 2 points
Red: 1 point
Step 2: Multiply the rated score for each line times the weight listed at the end of each line.
Step 3: Sum all the multiplied scores/weights.
Step 4: Compare project charter score against the guidelines.
The higher the score, the better the charter. Maximum possible score on the charter is 99. While
many charters have the potential to reach 99, not all will.
Most good charters should be able to achieve a score of 75 or higher.
A yellow rating for each attribute would lead to a score of 66.
Any charters scoring below 66, or any areas receiving a red (1) score should be reviewed and/or
discussed with a Black Belt, champion or coach. The project could be a candidate for Business
Process Redesign (BPR).

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Task-Oriented Projects
Some projects are more task-oriented than process improvement oriented.
Project Examples:
Raw material substitution, source of supply change, change of product in customer planogram
Project Y Examples:
Identify 3-4 Critical to Quality (CTQ) characteristics as your key metrics; these are the product
parameters that you dont want to screw up.
Project Y might be written as Replace _____ with______, while maintaining performance on X, Y,
Z.
o Might list dollars as secondary or counterbalancing metrics but preference is to not include
dollars.
o In writing these types of Project Ys, key question to ask is Which process are we working
on? This will focus use of tools in a useful way.
Examples:
o Replace raw material X with raw material Y, while maintaining current performance on
flexibility and stretch
o Move product A from manufacturing site 1 to manufacturing site 2, while maintaining
current performance on adhesion
Use of Tools:
Type 1: Decision has already been made to do a particular task and solution (raw material, new
source of supply, etc) has been identified.
o Do process map on part of manufacturing process that change will affect.
 Outputs (Ys) will be key product characteristics listed as your primary metrics
 Cost may be secondary Y (and benefit)
o These projects typically have two initial capabilities

One from old process and one from first effort at using new process/raw material

New capability should match old process capability
o Example:
 Know what raw material will be substituted, or a second source of supply has been
identified. Map the part of manufacturing process where the raw material change
will have impact.
Type 2: Need for a particular task has been identified, but specific solution has not yet been
identified. Should be broken into two projects.
o Identification of replacement/new source:
 Process map/C&E will focus on the process of identifying and screening potential
candidates.
 FMEA is a particularly good tool for this type of project to evaluate the candidates.
o Implementation of the solution once identified
 See instructions on Type 1 projects.
 Example:
A raw material change is needed, and the project needs to identify what the
raw material substitution should be as well as implement the change. In the
first project, map the process for identifying and screening materials. Use
the FMEA to identify failures that could occur in this process. Once the
project has selected the raw material(s) to substitute, start a second project
to implement the change, while maintaining performance on the CTQs.

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Project Charter Checklist

What process is this project supposed to improve?


In measurable terms, what is the project trying to accomplish?
Is this project worth doing?
Does it fit with the 3M objectives? Does it fit with the business strategic goals?
Is this a customer-oriented project?
Is the scope meaningful and manageable? Is it boiling the ocean or right size? Can it be completed in 6
months?
What are the specific goals? Stretch targets?
Who owns the process? Will they be involved?
What is the probability of success?
Can we get benchmark information? If so, where?
What resources are available to the team?
Who are the team members, process owner, and champion?
What is the specific defect within the process? Is it clear and concise?
Has this defect been worked on before and how are those efforts being leveraged or replicated?
Has the potential financial benefit been identified and validated?
How is Project Y currently measured?
Is the baseline established?
How was the entitlement determined?
What percentage of the entitlement gap is being targeted by this project?
What barriers to success exist?

Next Steps
After meeting with the project team to gain agreement on the project charter, begin the Process Map while
also beginning to understand validity and reliability of data and gathering baseline data on your primary Y
for initial capability.

Lessons Learned

C. Other Tools

Whats In It For Me (WIIFM) Benefit Analysis (See appendix)


Force Field Analysis (See appendix)
Stakeholder Analysis and Influence Strategy (See appendix)
RACI Matrix (See appendix)
In-frame/Out-of-frame (See appendix)

Define Phase Completion Checklist

Completed initial project charter


Specific and measurable project Y
Project link to business winning strategies clearly understood
Process boundaries documented and understood
Process owner and champion defined
Potential team members and stakeholders identified
If you have a question ASK!

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III. Measure/Investigate Part 1

A. Quick Improvements / Quick Hits


5S Sort Set Shine Standardize - Sustain

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Visual Management/Visual Control

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B. Mapping the Process


Process Map Purpose:
Identify the baseline for the process being improved.
Provide visual documentation and understanding of the current process.
Provide input to other tools.
Help clarify scope for the project.
Ensures good team understanding of the process.
Process Map Goals:
Clear understanding of process scope
Agreement on the current state of the process
Most Common Mapping Tools:
Process Map (aka Variables Process Map or IPO Map for Inputs-Process Steps-Outputs
Cross Functional Map (aka X-Functional Map or Swim Lane Map)
Value Stream Map (VSM)

Steps to Create a Process Map


Useful items for process mapping: Brainstorming, existing documentation, experience of owners,
operators, customers, suppliers and process observation.

Step 1 Develop High Level Process Map (50,000 foot


level)

Identify process in simple terms typically from process


definition on Project Charter


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If process not properly identified, subsequent efforts will be wasted

Identify major inputs typically include defects identified on Project Charter


Identify major outputs typically key metrics from Project Charter (Primary Y, Secondary Y, and
Counterbalance Y)

Step 2 Identify all steps in process (5,000 foot level) What action happens?

Each step starts with a verb and describes activities that occur
Most processes should be mapped in 6-8 steps (if more than 8,
scope may be too broad or you may be getting too detailed)
Examples:



Transactional examples (business processes): Work activity


steps, verification, rework, reprocessing
Operational examples (manufacturing processes): Process steps,
inspection/test, rework, scrap points

Include all value-added and non value-added steps


Hint: Start with first step and last step, then fill in rest of the
steps

Step 3 List key outputs (Ys) What will the process step
deliver?

Outputs should be nouns (not verbs) and describe what the process step will deliver
Include tangible items and measures of performance (e.g. cycle time)
Include both process and product output variables
Output of final step should be Project Y
Outputs should be measurable - Hint: Focus on outputs that relate to Project Y

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Step 4 List and classify key inputs (Xs) What is needed to complete this process step?

Inputs should be nouns


Some inputs will be outputs from previous steps
Make inputs quantifiable, if possible
Dont forget to include the people doing the
work as inputs to the process BUT Be
specific: do not list sales rep. Instead list the
specific attribute(s) of the sales rep that may be
important (sales rep experience, sales rep
availability, etc)
Classify inputs as controlled (C) or uncontrolled (U) by someone in the process (today!)



Controlled (C) Inputs that can be changed to see the effect on outputs
Uncontrolled (U) Inputs that impact the outputs but are difficult or impossible to control (may also be
controllable, just not under control currently)

Step 5 Add process specifications for Inputs (Xs)

For inputs identified as controlled and critical, add requirements and targets if they exist.
Beginning of the control plan!

Elements of a Good Process Map

Should describe:
o Major activities/tasks
o Input variables (Xs)
o Sub-processes
o Output variables (Ys)
o Process boundaries
Should be reviewed frequently and updated
Provides inputs to C&E matrix, FMEA, control plan, capability, and Multi-Vari studies
Helps verify project scope
Shows where the process starts and stops for your specific project.

Process Mapping Tips

Good maps result from carefully observing the process


Keep it simple, not complex (no massive wall charts, 6-8 steps only)
Update process map as you move through the DMAIC roadmap
If at all possible, get someone elses process map to start
To get full perspective, mapping must involve a team, not just one individual
Process steps should be verbs (action); Inputs and outputs should be nouns (things)
Use flip charts and Post-it notes (to move steps around while developing the map) or use the ubertool
(Excel-based macro developed by 3M and available in the Six Sigma Information & Tools Database).
Map the process AS IT IS TODAY, not how the team wishes it to be
o Hint: If team identifies steps that are obviously missing, capture them on a different sheet
and indicate where they should fit into the overall process map

Common Process Mapping Pitfalls

Mapping the wrong process. Is this the process thats causing the defects listed on the charter? If we
improve this process will the defects be reduced?
Inputs too generic if the same input is listed at nearly all steps, be more specific
Too many outputs Focus on the most important outputs (related to the Project Y and the project
metrics)
Wrong outputs Not focusing on outputs related to Project Y and project metrics
Wrong level of detail - Too many steps or too few steps (lose sight of big picture)
No operational definitions for inputs

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Process Map Checklist

Who helped developed the map and do they represent the key areas being mapped?
Does the process map reflect the current state or the desired process?
Are all non value-added steps included?
What did you learn from the process map?
What quick hits did you find from this effort?
What process steps do the team feel can be eliminated or combined to reduce opportunities for scrap
and increase rate?
How will you measure the inputs (Xs) and outputs (Ys)?
Are the inputs (Xs) identified as controlled/uncontrolled?

Next Steps
Take all process steps and inputs (Xs) into the Cause & Effect (C&E) Matrix. Take only the major
outputs (Ys from the high-level process map) into the (C&E) Matrix. These must include the Project Ys
and counter balance Y.

Lessons Learned

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Business Process Redesign Cross-functional Maps

Cross-functional maps (Swim lane map) Shows how functions, departments, groups or individuals
take inputs through the process steps, and through the organization, to produce outputs. Each step
from the process map is broken into the individual tasks and placed in the appropriate functions row.

Recommend start with Process Map to create Is map:


o Can use one method to create other. Top row of cross-functional map = boxes down column of
process map.
o Process Map is required in order to identify critical Xs beyond process improvement needs and
feeds the C&E, FMEA, etc.
o Cross-functional map process disconnects can be X-ified to combine with process map critical
Xs into C&E, FMEA, etc.

Purpose of each map:


o Process Map focuses on inputs
 Identifies inputs and outputs, but not how they flow through the organization.
 DMAIC identifies critical Xs that control variability of critical Y(s).
o Cross-functional Map focuses on what do with inputs
 How the functions (departments, groups or individuals) move the inputs through process
steps and through the organization to produce outputs.
 Identifies disconnects that can be X-ified

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Process Disconnects

What are they? Anything that negatively impacts effectiveness or efficiency of a process. E.g. pain
to customer, incorrect data, slow process, rework, parallel paths.
What are sources? Internal suppliers and customers. External suppliers and customers.
What are types? Process steps, process flow, and measurements systems.
How do I document? Typically documented on IS maps with results shown on SHOULD maps.
Cross-functional maps usually are critical for disconnect identification and communication.
What are common disconnects?
Inputs
Tasks
Outputs
Levels
Missing or late
Missing
Not needed
Overall Organization
Not needed
Value adding
Missing or late
o Strategy
From wrong suppliers Correct resource
To wrong customers
o Policy
Not meeting
Correct timing
Not meeting
o Organizational
expectations (Quality, Bottleneck
expectations (external,
Structure
cost, timeliness)
internal)
Individual Process

o Information Flow
o Process Flow
o Input/Supplier
Job or Task
o Process
o Execution

What do I do with disconnects?


o Disconnects most often describe a Failure Mode of an X.
o In order to take disconnects into C&E they need to be stated as an X.
o Those left over are usually organization issues (eg. policies, business rules, established norms).
o A few disconnects may be difficult to turn into Xs and take into C&E. These need to be reviewed
carefully to see if anything needs to be put in place to handle them.
How do I bring disconnects to the FMEA?
o Options include:
1. Prioritize all inputs (Xs) and disconnects in same C&E and bring larger number forward
(e.g. 7-10) to FMEA.
2. Prioritize all inputs (Xs) on one C&E, and all disconnects in separate C&E. Bring
forward top from each C&E. E.g. top 4 Xs and top 7 Disconnects.
3. Bring all disconnects directly to FMEA (no stopping at C&E with Disconnects). Still do
C&E on all inputs (Xs).

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Value Stream Mapping (VSM)

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Other Process Understanding Tools (see Black Belt or Coach for details)

SIPOC Same layout as the regular Process Map but it includes the Supplier of the Inputs and the
Customer of the Outputs.
o Shows the touch points in which all processes are connected. Helps us understand issues when
considering process improvements. Helps us understand who are the customers and their
requirements.
o Clarifies who provides or receives input/output:
Supplier: who provides input (X)
Inputs: nouns showing what is needed to complete the step
Process Step: verb that describes what happens
Outputs: nouns that describe what the step will deliver
Customers: who receives benefit of the steps output (Y)
o The SIPOC shows how no organizational process stands alone. Rather, all processes are in
some way connected to other processes in the organization.
o A SIPOC shows the touch points of the process under study to other processes (or
departments). Knowing these touch points enables a more thorough understanding of the
issues when considering process improvement work
o Two key uses of SIPOCs:
 During the Define phase
 High-level (50,000 ft view) only
 To better understand the scope of a potential project and to better identify
stakeholders in the project
 During the Measure phase
 Same level of detail as basic process map
 To better understand who are the customers and suppliers and to better
understand their requirements

Value-Add/Non-Value-Add Flow Charts


Affinity Diagrams
Interrelationship Digraphs
Fishbone Diagrams
K-J Analysis

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C. Cause and Effects (C&E) Matrix
Cause & Effects (C&E) Matrix Purpose:
Prioritize the inputs (X's) identified from the detailed process map based on their impact on
the high-level project outputs (Ys).
The C&E Matrix is a simplified QFD (Quality Function Deployment) matrix to emphasize
the importance of understanding customer requirements.
Provides comprehensive evaluation of all Inputs (Xs) at once prioritize most important
variables across entire process.
Cause & Effects (C&E) Goals:
Inputs (Xs) prioritized

Steps to Create a C&E Matrix (General Method)

Two methods to build a C&E Matrix:


o General Method (discussed below)
 Preferred when number of input variables is manageable (e.g. less than 150)
 Examine all input variables at once
o Focused Method (see C&E Matrix Hints section for instructions)
 Preferred when number of input variables becomes too large to manage effectively
 Focus on process steps, then drill down on variables in the highest priority steps first

Step 1 List Key Project Outputs (Ys) from High Level Process Map

Select the key outputs typically the Primary Y, Secondary


Y, and Counterbalance Y. Ideally, 3-5 outputs no more
than 10! These outputs should be measurable. (Hint:
Typically these outputs are the final outputs of the process.)
Place Outputs across the top of the C&E Matrix.
Develop written operational definitions for each of the
Outputs listed to ensure equal understanding. These
definitions should be entered as comments (see below) on
the Excel cell, or listed on a separate worksheet for continual
access while working on the C&E.

Step 2 Rate Outputs to project importance

Weight from 1-10, where 10 is "extremely important." Primary Y should generally be 10, Secondary
Y often 6-8, Counterbalancing Y often 3-5. Everything else less than Primary Y.
Be ruthless in prioritization not every Output (Y) can
be a 10 in importance.
Look for balance between Ys
o If several similar Ys are listed, when taken
together they may outweigh a single more
important Y
o Example: Ys of cost and price. Price is
defined as what is paid in $, Cost is defined as
price paid AND performance received from
product. If both price and cost are included on C&E, price gets double weighted.

Step 3 Transfer all Inputs (X's) from the Detailed Process Map

Remember to include the corresponding Process Steps with the Inputs (Xs).
Include any Input (X) operational definitions.

Step 4 Evaluate each Input (X) for its effect on each Output (Y) by reaching a team consensus

Use the following phrase as you read each Process Step/Input line of the C&E Matrix:

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In the Process Step of __________________, what effect or impact does process Input (X)
____________ have on (the first Output/Y on top of the C&E) ___________? What impact does it
have on the second Output? The third? Etc.
Use the following guide for rating each "process input." Use only 0, 1, 3, 9. Agree to project specific
(or Output specific) operational definitions before begin scoring. Do not ask if the Xs and Ys
correlate. Rather ask how strong the effect of the X is on the Y (output being discussed).
9 - If input has a direct & strong effect on output
3 - If input has a moderate effect on output
1 - If input has a remote/slight effect on output
0 - If input has no effect on output

Team makeup is critical. Need representation from all functions.


Inserting comments in Excel: If team is disagreeing on the rating, enter the highest effect of the
disagreed values in the cell. If working in Excel, do a right-mouse click over the cell and choose
Insert Comment. Type in the reasons for the two different values (e.g. felt to be a 9 because.
felt to be a 3 because). Then, when the data is sorted, the items with discussion on them will have
a red corner in their cell.

Step 5 After scoring all Inputs to Outputs,


Excel calculates a total score for each input
(Input score multiplied by the Output
weighting factor; summed for each Input).
Step 6 Sort the Input rows in descending order by total score (always save the data first) and
do gut check.

If desired, create a Pareto chart of the


descending scores to find the natural break. To
create a Pareto chart in Excel:
1. Ensure the data is sorted in descending
order by total score.
2. Highlight the entire area of the C&E
containing the inputs, rated values, total
score and column headings.
3. Choose Insert > Chart > Chart Type is
Column and click Next.
4. Click on Series tab.
a. In the Series box, click on each of the series descriptions and choose Remove until
only the Total Score is left in the box.
b. In the Name box, the cell containing the column name for the Total Score should
be selected.
c. In the Values box, the range containing the Total Score should be selected.
d. In the Category X Axis Labels box, the range containing the Inputs should be
selected and click Next.
5. Click on Legend tab and click off the Show Legend box and click Next.
6. Click on As New Sheet, enter title for worksheet and click Finish.
Do a gut check to see if most important Inputs (Xs) have risen to the top. Ask your team: Should
the top Xs be top Xs? Are some Xs missing? Why or why not?
If the most important Inputs (Xs) have not risen to the top, as a team review the scoring and discuss.
Based on the scores/Pareto chart, along with team gut check, determine which inputs to take
forward into the Failure Modes & Effects Analysis (FMEA). Ideally, take no more than 3-7 inputs
into the FMEA.

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C&E Matrix Hints

If the team cant agree on a rating, check that everyone is using the same definition of the input;
definition may need to be made more specific. When in doubt, use the higher rating. Remember that
0s and 1s wont rise to the top anyway, so long debate here isnt useful.
If a team member is being too vocally dominant during the scoring, hand out flash cards to each
person (0,1,3,9) so they can each hold up their score and be represented. Discuss differences in
values.
Use the C&E Excel template to automatically calculate the total score for each Inputs (X).
Entire team should work together to build C&E Matrix. Team makeup is critical. Obtain good
representation from many functions including subject matter experts (SMEs).
Stay close to three measurable Outputs (Ys) across top.
Every Input (X) from the Process Map is brought to the C&E.
Hide the total column this keeps people from ranking so that their pet input is rated high.
Rank and score representing what could happen, not necessarily what has happened or what is
happening.
When there are more than 150 Inputs (Xs), follow the Focused method:
o Phase 1
 Place Project Outputs (Ys) across top of matrix and assign importance scores, as
usual
 Place process steps (only steps, not Inputs) down side of matrix
 Assign scores for correlation between process steps and output variables
 Calculate weighted importance scores and rank process steps from high to low
o Phase 2
 Start a new (General Method) C&E matrix with inputs from top three or four process
steps identified in Phase 1
Cause & Effects Matrix feeds into 3 tools:
o Key Inputs are fed into FMEA
o Provides input to capability study
o Provides input into initial evaluation of control plan

Common C&E Matrix Pitfalls

Voting & averaging scores: team discussion and consensus is vital to understanding the process
No operational definitions for ratings: need agreement!
No team discussion and consensus on rating scales: need everyones input!
Too many Ys: use only the most important Ys from the charter and the high level process map
Adding a 6 to the scoring or scoring 1-10: only use 0,1,3,9 to create differentiation between the
Inputs (Xs)
Scores for Ys arent differentiated enough (10,10,9)

C&E Matrix Checklist

Who provided inputs to the customer requirements for this C&E Matrix?
Who determined the relationship ratings for the Inputs (Xs) and Outputs (Ys)?
What surfaced as the top Inputs (Xs) from the C&E Matrix? Do these make sense?
What actions are being taken on the top ranked Inputs (Xs)?
Are there any quick hits that can be assigned to lower ranking Inputs (Xs)?
Do the current control plans reflect the need to monitor these top Inputs (Xs)?

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Next Steps
Take the top items from the C&E matrix into the Failure Modes and Effects Analysis (FMEA).

Lessons Learned

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D. Failure Modes & Effects Analysis (FMEA)
Failure Modes & Effects Analysis (FMEA) Purpose:

Identify ways the inputs (Xs) can fail and determine the effect of the failures on the outputs (Ys).
FMEA is a structured approach to estimate risk associated with specific failures and to prioritize
actions that should be taken to reduce the risk. The FMEA also identifies current controls.
Used to prioritize risk to ensure process improvement efforts are beneficial and timely (internal and
external)
Used to document completion of projects (actions completed)
Should be a dynamic document, continually reviewed, amended, and updated (one of the control
documents)

Failure Modes & Effects (FMEA) Goals:

Key inputs (Xs) narrowed down to be taken into Analyze phase and potentially controlled
Failure causes of key inputs (Xs) identified
Prioritized list of actions to prevent Causes or detect Failure Modes
Record of Controls and actions taken
Deeper process understanding for the team

Steps to Create an FMEA


Setup:

Identify a good cross-functional team. Include


subject matter experts (SMEs), facilitator,
functional process participants/operators, etc.
Bring prioritized inputs (and their process steps)
from the C&E into the FMEA. Ideally, take no
more than 3-7 inputs into the FMEA.

Step 1 Identify Failure Modes

Starting with the first input, list all Failure


Modes on individual lines.
Failure Modes identify ways a specific input
fails (can fail in multiple ways). The failure
could be due to a defect or because the input
goes out of the customer specifications. If the
failure is not detected and either corrected or
removed, it will cause the effect to occur.
Failure Modes answer: How do good Xs go
bad?
Hint: Failure modes should be easy to identify. If
you have more than 5, you may be including causes.

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Step 2 Determine Effects

For the input (X), list all possible failure Effects within this process step. Effects are caused by an X
failing (Failure Mode). If the input fails, any or all of the Effects could occur.
Effects identify the impacts of the failure on the customer requirements or project outputs (Ys).
Remember to include what might happen. Be descriptive about what happens to the process (e.g.
production stops).
Effects answer What happens to the
process customer when the X goes bad?
Hint: List all the Effects for each Failure
Mode in one cell to assist with later scoring
(see Step 5).
Hint: Relationship between Failure Mode and
Effect is not always 1-to-1 (see diagram
Linking Failure Modes to Effects).
Hint: Effects should be one step below
project Y.

Step 3: Identify Causes

For each Failure Mode, list the immediate Cause of the failure.
Often there are several Causes for each Failure Mode.
Causes answer: Why did the X go bad?

Hint: Causes cause Failure Modes, NOT Effects. Do not need the same number of Causes as Effects. May
find it helpful to hide the Effects column.
Hint: Remember the scope of your project the Window of Consideration. Can use a little Process Map for
each Failure Mode: Causes are Inputs, Failure Mode is Process Step, Effects are Outputs.

Step 4: List Current Controls for Causes

For each Cause, list Controls that are currently in place to prevent the Cause or Failure Mode, or
detect the Failure Mode (currently in place not what ideally should be in place).
Controls consist of audits, checklists, inspection, laboratory testing, training, SOPs, preventive
maintenance, databases, etc. Sometimes there are no Controls for a Cause or Failure Mode.
Helps identify gaps in our current controls. Sometimes there are no controls for a Cause or Failure
Mode.
Controls answer: TODAY, what do we have in place to prevent, counter or identify the Cause
before the customer sees the Failure associated with it?
Hint: Controls can be listed in one cell as a system of things that work together.

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Step 5: Determine Rating Scales (Never use a 0)

For your project, customize definitions for the scales of Severity (SEV), Occurrence (OCC), and
Detection (DET). See chart.
Severity (of Effect) Importance of Effect on customer or process requirements should relate to
project Ys. Also consider safety and other potential risks. (1= None to Very Minor; 10=Very
Severe)
Occurrence (of Cause) Frequency the Cause occurs and creates the Failure Mode. May refer to
the frequency of a Failure Mode. (1=Not Likely to Occur; 10=Very Likely to Occur)
Detection (capability of current Controls) Ability of current control scheme to detect or prevent:
the Causes before creating Failure Mode or the Failure Modes before causing Effect. (1=Likely to
Detect or Prevent; 10=Not Likely to Detect)
Other categories can be added:
o For example, one engineer added an impact score to RPN calculation to estimate overall
impact of Failure Mode on process.
o Another example is using two Severity columns: severity to external customer; and severity
to internal customers and processes.
Typical rating scale is 1-10. Allows for better precision in estimates and a wide variation in scores.
Remember: Never include a 0 (zero)!

Step 6: Assign SEV, OCC, and DET Ratings

Assign ratings to the SEV, OCC, and DET columns for every value by asking the following
questions:
o Severity: In ___________ (Process Step), when ____________ (X) fails by ___________
(Failure Mode), how bad is it if the customer sees ___________ (Effect)? Note: For the
combined Effects, determine which Effect in the combined cell is most severe. The score for
this Effect is used for all the Effects listed for that Failure Mode.

Rev 4.01

Occurrence: How often does __________ (Cause) occur?

Detection: Today, how good is our Control of ______________ at catching or preventing the
Cause of _______________ before it affects the customer? Note: Possible that current
control method cannot detect cause but does detect failure mode. Example: 1 = prevention,
10 = detect too late/no detection. (Note reverse scale!!)

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Step 7: Calculate RPNs

After all scoring is complete, fill any empty cells with the appropriate Failure Mode and combined
Effect. Each Cause must have an associated Process Step, Input, Failure Mode and Effect cell.
Save the worksheet and sort the entire worksheet by the RPN (risk priority number) column in
descending order.
If desired, create a Pareto Chart to see where the natural break in the scores occurs.
Review the results and look for insights.
Hint: Do a gut check to see if the most important Xs have risen to the top. Ask your team: If we
improve these top Xs, will we accomplish our project Y? If not, maybe the ratings given need to be
reviewed.
Hint: Make a backup copy of the file before sorting.
Hint: Team will often take the Failure Modes and Causes for the top Xs to write hypothesis
statements for Multi-Vari work. During the Multi-Vari step data is collected to prove/disprove these
hypotheses.

Step 8: Create Action Items for High RPNs and Assign Responsibilities

Only identify actions for high RPNs.


Also look at all Causes with a Severity rating of 10. Should these also have a Recommended Action?
Be sure to identify who will do the actions and the time the actions are due. Assign specific people
(not functions or positions).

Step 9: Take Actions & Recalculate

Indicate actions taken by team members and the results.


Recalculate RPN ratings as actions are taken. Sort for new prioritized RPNs and assign additional
action items if necessary.

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FMEA Tips

Complete the FMEA columns for all of the textual columns (Failure Mode, Effect, Cause, Control)
for each input first. Then, complete the numerical columns (Severity, Occurrence, Detection). Dont
complete the Actions recommended column until all scoring is complete. Occasionally capture any
solution ideas that arise here, but refrain from letting the team brainstorm solutions at this time.
Hide Effects column when listing Causes of Failure Modes. This can address the pitfall of linking
Causes to Effects, instead of to Failure Modes.
Do not schedule more than 2-3 hour blocks of time for working on the FMEA or the team will lose
interest.
Be sure the detection scores are in right order (reverse score of other scales). Example: 1 =
prevention, 10 = detect too late.
Remember no 0s in numerical scales!
A cross-functional team approach is required for completion of a successful FMEA. Use subject
matter experts to supplement team knowledge as needed. Team should have the minimum number of
appropriate people necessary to understand how the X's fail and what impact that has on the Y's. Too
many members increases confusion and slows the process. Consider using a facilitator or your BB.
If there is a dominant team member, written scorecards can help begin the scoring discussion so the
same person doesnt always decide the score. Another approach is to go around the room one at a
time, and start with a different person each time.
Frequently save your spreadsheet!
Some teams find it helpful to think of following the Process Map
model to complete the FMEA. This approach can be used to
complete only the Failure mode, Effect, and Cause columns of the
FMEA. The form and layout is similar to a Process Map. (Check
out the FMEA Generator Excel file in the Information and Tools
database to help use the process map model.)
Step 1 List Failure Modes as if they were process steps.
Step 2 List Effects as if they were outputs.
Step 3 List Causes of the Failure Modes as if they were inputs.
(Might hide the Effects column when doing this step.)

Rev 4.01

Completing the information this way helps eliminate confusion caused


by the layout of the standard FMEA form. It also helps separate
Causes from Effects. Doing this in Excel can be very helpful because when you are done, you can copy and
paste the columns into the FMEA worksheet.
In the regular FMEA worksheet, continue with the FMEA form. Rank the Severity of Effects and combine
them before the Causes are listed. After this, the process is the same as the standard method.

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Common FMEA Pitfalls

Rushing through FMEA instead of taking time to do it well (May result in Multi-Vari study being
skewed).
Using voting and averaging instead of discussion and consensus.
No team discussion and consensus on rating scales and/or operational definitions for ratings.
Taking too many Xs into the FMEA - ideally only take 3-7 inputs from C&E into FMEA.
Choosing the wrong window of consideration. Effects need to be tied to Project Y. Failure Modes
need to have an impact on Effects.
Not digging into the real issue being too superficial
Wrong people on the team: need good mix of people who understand the process thoroughly.
Forgetting Project Y or forgetting who the customer is lose focus on purpose of project.
Causes listed in the Failure Mode column. If have more than 5 Failure Modes for one X, you
probably are incorrectly listing causes.

FMEA Checklist

Who helped developed the FMEA did we involve the necessary organizations?
Which items from your C&E Matrix did you evaluate in the FMEA?
Does the FMEA reflect the current state?
Did you customize the ranking system for your project?
What quick hits did you find from the FMEA?
Did you complete the actions recommended section of the FMEA?
Do all actions in your FMEA have responsibilities assigned and a completion date identified?
Have you updated your Control Plan with what you know so far?
Can you obtain data for top scoring Xs? Causes? Failure Modes?

Next Steps
Determine further data collection, conduct Multi-Vari studies, experiments or develop process
improvements. Take action on any quick hit improvements with low or acceptable risks.

Lessons Learned

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E. Types of Data
Data can be grouped into several categories including:

Discrete (Attribute or Qualitative)

Refers to descriptive characteristics


Expressed in verbal terms and descriptions
Can be quantified by counting frequency of occurrences
Examples:
o Color of eyes: blue, green, brown, etc.
o Socio-economic status: high, middle, low
o Categories: good / bad, machine 1 / machine 2
o Steak: Rare, medium rare, medium, well done

Continuous (Variables or Quantitative)

Characteristics expressed in numerical form


If you can divide by two and it makes sense it is continuous
Examples:
o Time: 2.000, 2.1, 2.119 seconds
o Pressure: 45, 45.8, 49.234 psi
o Cycle time: 8, 14, 32 days

Count

Number of errors in document, # units shipped, etc.


Treat as discrete if occurrences are rare (e.g., errors in simple documents) or the range is less than 10
(e.g., all counts are between 105 and 112)
Treat as continuous if occurrences are frequent (e.g., units shipped)

Why is the type of data important? Based on the type of data, the appropriate analysis tool can be
determined.

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F. Graphs
Many graphs are available to visually understand the nature of variation. For many people a picture is
worth a thousand words.
Graphs should be the primary presentation tool for data analysis. If you cant show the analysis
graphically, you probably dont have a good conclusion.
Graphs can help separate signal from noise.
Behavior can be described by plotting data points for the input (X) or output (Y): over time, across
products, on different machines, etc.
Some of the graphs that can be used to represent the data include the following. See the Information
& Tools database for Graphs for DMAIC for help with creating and interpreting the graphs.
 Dotplots
 Concentration Diagrams
 Contour Plot
 Histograms
 Fitted Line Plot
 Pie Chart
 Box Plots
 Normal Probability Plot
 Bar Chart
 Scatter Plots
 Pareto Diagram
 X-Y Plot
 Matrix Plot
The grid below shows the graphs commonly used on Green Belt Projects and how to create them in
Minitab. Hint: When running the test in Minitab, almost always put the output (Y) in the first box and
the input (X) in the second box.

Data analysis tasks for improvement


1. Stable Is process stable over time? If process is not stable, identify and remove causes of instability
(if they make the process worse).
2. Center Is the mean on target? If not, identify the variables that affect the mean and determine
optimal settings to achieve target value.
3. Spread Is the variability acceptable with respect to the customer requirements or project goal? If
not, identify the sources of the variability and eliminate or reduce their influence on the process.
4. Shape Does the data look like a bell shaped curve? Are there outliers? Talk to your Black Belt or
Coach with problems!
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G. Basic Statistics
We generally want information about a population. However it is often difficult to measure the entire
population. Even if we can measure the entire population today, we usually want to predict what will
happen in the future. We get information about populations by collecting a sample of data. Statistics are
characteristics of the sample, and theyre used to estimate characteristics of the population.

Measures of Central Tendencies

xi

Mean: Average of a set of values


i =1
=
x
o Reflects the influence of all values
n
o Strongly influenced by extreme values
Median: Reflects the 50% rank - the center number after a set of numbers has been rank ordered
o Does not necessarily include all values in calculation and is robust to extreme scores
In Minitab: To obtain the measures of central tendencies for a process in Minitab:
Stat > Basic Statistics >Graphical Summary > Variable: Select Y

Measures of Variability

Range: Distance between the extreme values of a data set (Highest - Lowest)
Variance (
2, s2): Average squared deviation of each data point from the
mean
Standard Deviation (
, s): Square root of the variance. Equivalent to the
average distance from the mean.
In Minitab: To obtain the measures of variability for a process in Minitab:

= s =

(x
i=1

x)

n1

Stat > Basic Statistics >Graphical Summary > Variable: Select Y

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Normal Distribution

Property 1: A normal distribution can be described completely by knowing only the Mean and
Standard Deviation.
Property 2: The area under sections of the curve can be used to estimate the cumulative probability
of a certain event occurring.

Property 3: Previous rules of probability apply even


when a set of data is not perfectly normally distributed.
Comparison of values for theoretical (perfect) normal
distributions to empirical (real-world) distributions:
If the data are normally distributed, then many of the
statistical tools can be used. If the data are not normally
distributed, then caution must be used with some of the
statistical tools. Contact your Black Belt or coach.
In Minitab: To see if a process is normally distributed in Minitab:
Graph > Probability Plot > Single > Variable: Select Y

Results: If the data points are close to the line or could be covered with a fat pencil, the data are
normally distributed.

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Preliminary Data Analysis

All the methods can provide insight on how to graphically represent data.
Data analysis should follow some basic steps:
o Practical Always check raw data to identify any abnormalities (errors, unexpected values).
o Graphical Analyze data graphically to get a sense of overall shape and time trends.
o Analytical Use other analysis methods to analyze why data is a certain way (e.g. t-Test,
ANOVA, Regression).

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H. Statistical Process Control (SPC)
Statistical Process Control (SPC) Purpose:
Determine the ability of the process to perform in a predictable manner over time. This is
also called the stability of a process.

Common Cause & Special Cause Variation


Variation exists in every process. Once the type of variation is understood, the improvement method can
Common Cause Variation
be determined.
Common Cause variation (noise) is controlled variation. This
is the random variation present in every process.
o A process is stable, predictable, and in-control when
only common cause variation exists in the process.
o The cause of the variation may be known or unknown.
The amount of variation may be large or small.
o Common cause variation is produced by the process
itself (the way we do business).
o If common cause dominates, make a permanent
change to the entire process. Do not tamper with point to point variation. Instead drill down
to isolate sources of the problem (e.g., by department, product, customer, etc.), study the subprocesses to isolate constraints, or experiment and evaluate the results. Ask What is
happening (throughout the whole time span)?
Special Cause variation (signal) is uncontrolled variation. This variation is caused by unique
disturbances or a series of them. These may be a one-time event or a permanent process change.
o A process is out-of-control, unpredictable, and unstable when special cause variation is
occurring.
o The cause of the variation may be known or unknown. The amount of variation may be large
or small.
o Special cause is not always bad some special causes improve the process (like increased
sales). If the cause is bad, seek ways to change some higher level process to prevent that
special cause from recurring.
o If special cause dominates, isolate and address the special root causes. Do not make
fundamental changes to the process. Work to get very timely data and immediately search
for cause when the control chart gives a signal. Ask What happened (in that period)? Is it
likely to continue or re-occur?
o Always identify/document special cause (if known) on your charts with a comment.
30

UCL=27.69

Individual Value

20

10

_
X=7.52

-10

LCL=-12.65

Special Cause Variation

20

11 13 15
Observation

17

19

21

23

25

1
1

15

UCL=14.78

1
1

1
1
1

10
_
X=7.24
5

Individual Value

Individual Value

15

Special Cause Variation

20
1

UCL=10.44

10

_
X=7
5
LCL=3.56
1

1
1

LCL=-0.30
1
1

11 13
15
Observation

17

19

21

-5

23

25

11 13
15
Observation

17

19

21

23

25

Plotting the data on a control chart is the best way to identify whether the variation is due to common or
special causes. Note: The data must be in time series order for the control chart to be effective.

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Structural Variation is variation that is part of the process but looks like a special cause when
plotted on a control chart.
o There are two forms of structural variation:
 Structure over time (e.g. seasonality)
 Structure across space (e.g., consistent differences between cross-web positions,
cavities on an injection molder, etc.). I-MR-R/S (Between /Within) is often the
proper chart for this case. This is especially true in cases using web processes.
o There are two ways to deal with structural variation:
 Remove the structure if it makes sense. This requires change to the process (e.g.
change policy to reduce end of year effects). Sometimes structure is desirable (e.g.
consistent sales increase) so no change is needed.
 Model the structure and remove its effect by using a tool like BP Chart to see trends
or seasonality. This does not reduce actual process variation. It allows better
sensitivity to other sources of variability, improving the charts effectiveness. See
your BB or coach for assistance with these. BP Chart is available for downloading
from the 3M Six Sigma website.

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Control Charts
Control charts are useful to track process statistics over time, to detect the presence of special causes, and
to provide a baseline or initial capability for a process. There are two primary uses for control charts:
Diagnostic is used when the goal is to understand the current process. Crucial during the Measure
and Analyze phases. Data are collected and analyzed by improvement team members on a one-time
basis.
Monitoring is done when the goal is to maintain process stability. Crucial during the Control phase
to ensure the improvements remain in place. Data are usually collected by operations personnel or
computers on an on-going basis. Note: Processes should be well-diagnosed before monitoring them
with control charts.

Control Limits
The control limits on a control chart are based on
statistical theory. They represent the limits of common
cause variation. They represent a yardstick for
judging the process stability. If the data are between the
control limits in a random pattern, the process is
considered stable.
Approximately 99-100% of the data should fall
between the upper and lower control limits.
Hint: The Control Chart uses a forced normal
distribution standard deviation on the data even if it
is not. If the data is normal, the standard deviation
used to calculate the UCL and LCL match the
regular standard deviation.
Hint: Control charts that use subgroups (average 2 or more samples X-bar R) are almost always
normal. This is one of the great powers of control charts.
Control limits and specification limits (from customer) are completely unrelated!
Control limits are based on process variation (voice of the process) and do not necessarily reflect
voice of the customer.
Control charts answer only one question: Is the process stable? (Not: Is the process meeting
customer needs or management goals?)
A stable, in-control process does not guarantee acceptable results. An unstable, out-of-control
process may (temporarily) produce acceptable results. Every process has inherent level of variation,
and it does not know the goals. If the process cannot meet its goal, we must change the process or
change the goal.
Hint: Drawing goal lines on a control chart destroys the emphasis do not draw goal lines on a
control chart! Too easy to react to every point that doesnt meet the goal as if it were a special cause.

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Two Ways to Create Control Charts (Minitab or BPChart)

Control charts can be created with either Minitab or BPChart. BPChart is an Excel-based macro tool
created at 3M in the 1990s for plotting I-MR charts of data from business processes. (BP Chart is
available on the Lean Six Sigma website under software tools.)
Advantages of BPChart include:
o Ease of use most people know Excel
o Layouts Multiple charts on one page
o Incorporates time-based structure (trends, seasonality)
Limitation of BPChart Specialty package cant do other graphs or analyses.
Some Six Sigma projects require analysis that only Minitab can do. For monitoring a process
(standard I-MR) when project is done, either software package can make standard control charts.
o To incorporate trends and/or seasonality, use BPChart
o For other charts and analyses, use Minitab

Types of Control Charts (and When to Use Them)


Multiple control charts exist and which one is needed depends on the type of data being analyzed. The
typical control chart used on Green Belt projects is the Individuals-Moving Range (I-MR) chart.
Remember: The data must be time order to use control charts!
Variables (Continuous) Control Chart: Used when the output (Y) data is continuous.
Individual and Moving Range (I-MR) Chart Control chart for data that are collected for
individual observations. Typically used when measurements are continuous output that is
homogenous. ** I-MR is the most commonly used control chart.**
o Individuals chart plots every individual point in time order. Assesses stability of process
average.
o Moving Range chart plots the difference between consecutive observations. Assesses
stability of process variation shows short-term variability.
In Minitab: To see if a process is in control:
Stat > Control Charts > Variables Charts for Individuals > I-MR > Variable is Y (Optional: I-MR
Options > Stages > Define Stages is X)

Results: If the data points are within the red control limits and a random pattern around the
green average line, the process is in control. A process is considered out of control if a point
exceeds a control limit. This will suffice for detecting special causes in most cases. Minitab
offers additional rules to increase the charts sensitivity to special causes. See your Black
Belt or Six Sigma Coach if you think you need to use these rules.
I-MR Chart of Sales
Individual V alue

30

U C L=27.69

20
_
X=7.52

10
0
-10

LC L=-12.65
1

11

13
15
O bser v ation

17

19

21

23

25

U C L=24.78

M oving Range

24
18
12

__
M R=7.58

6
0

LC L=0
1

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11

13
15
O bser v ation

17

19

21

23

25

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X-Bar R Control chart for data that are collected in subgroups (where time between groups is
longer than time within groups e.g. 3 samples per hour).
o X-bar chart plots the average of the subgroup. Evaluates consistency of process average.
 Hint: All samples in a subgroup must be representative of the process
independently. If this is not true the variation represented on the chart will over or
under estimate the true process variation.
o R-chart plots the range of the subgroup. Evaluates consistency of process variation.
o In Minitab: To see if a process is in control:
Stat > Control Charts > Variables Charts for Subgroups > Xbar-R > All observations for a chart are
in one column: Select Y, Subgroup sizes: Enter size of subgroup or select from list

Results: If the data points are within the red control limits and a random pattern around the
green average line, the process is in control.

Xbar-R Chart of Pressure Drop

Sample M ean

0.45

U C L=0.4487

0.40
_
_
X=0.3631

0.35
0.30

LC L=0.2775
1

0.25
1

10

13

16
Sample

19

22

25

28

U C L=0.2154
Sample Range

0.20
0.15
_
R=0.0837

0.10
0.05
0.00

LC L=0
1

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10

13

16
Sample

19

22

25

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3 Chart Control chart for when variation within a subgroup (R charts) does not predict betweensubgroup variation
o Many 3M processes exhibit variation over time (jumbo-to-jumbo, shot-to-shot, batch, etc.)
when logical subgrouping would be across space (crossweb, cavity, reactor)
o Control limits for Individual chart need to include within- AND between-subgroup variation.
This is accomplished by a 3-chart (monitor within-subgroup variation with an R (or s) chart
with subgroup size n).
 Averaging all n within-subgroup readings into a single number.
 Treating the within-subgroup averages as individuals.
 Monitoring variation between subgroups with I/MR chart (limits for the I chart are
based on the Moving Range of the subgroup averages).
o In Minitab: To see if a process is in control in Minitab:
Stat > Control Charts > Variables Charts for Subgroups > I-MR-R/S (Between/Within) > All
observations for a chart are in one column: Select Y, Subgroup sizes: Enter size of subgroup or select
from list

Results: If the data points are within the red control limits and a random pattern around the
green average line, the process is in control.

Attributes Charts: Used when the Y is in discrete groupings. (See Black Belt or Coach)
np-chart, p-chart, u-chart, c-chart

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I. Capability Studies
Capability Studies Purpose:

Compare voice of process to voice of customer.


Determine the stability of the process.
Determine whether the process is meeting the project goals
(ideally customer needs).
Establishes a baseline for process Y(s). (How is process
performing today? How much does it need to improve to
reach project goals?)
Identify what kind of improvement strategy is needed.

Capability Studies Goals:

Initial process capability documented.


Identification of type of improvement strategy needed.

Steps to Follow
Step 1 Determine stability by gathering initial data and plotting in time order

Assemble data from recent history and record the data in time order. Ideally, collect 20-25 points,
although this may not be possible for all processes, depending upon the frequency of data.
Create a control chart (such as an I-MR or Individuals chart) to see if the process has common or
special cause variation. (See Statistical Process Control for more information.)
o Common Cause Normal/random process variation, noise.
o Special Cause Unusual, unpredictable events. Causes may be one-time events or
permanent changes to the process.
A process is stable if it has only common cause variation all data points inside the control limits
(red lines) on control chart and no obvious trends.

Step 2: Determine improvement strategy

If special causes dominate:


o Ask: What happened at the time of the special cause? Is it likely to continue or re-occur?
o Identify and address the root cause that created the change.
o Dont redesign the entire process while special causes still exist. First, address special causes,
and then determine if a redesign is needed.
If common causes dominate:
o Ask: What is happening each time we do the process?
o Analyze all data (not just ones that didnt meet the goal) and study potential sources of
variation.
o If only common causes exist, but goals arent being met, entire process may require change.

Step 3: Evaluate capability the ability to meet the customer requirements

Compare baseline results with customer requirements (project goals, customer specifications, etc).
(Hint: Make sure your metric and the customer use the same units.) Use one of the following tools
to do the comparison.
o Attribute (Discrete) data calculate Defects Per Unit (DPU)
o Continuous data calculate capability indices
Determine what is needed to meet customer requirements (Important: Verify customer specifications
are real):
o Shift the process average
o Reduce total variability

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Attribute (Discrete) Data Capability

When the data are attribute or discrete, the capability is determined by counting the number of defects
(as defined by the customer) in each unit.
Step 1: Define the unit The physical output from the process that is inspected, evaluated, or
judged by others to determine suitability for use. Typically something delivered to customers or
users. Defined by a starting and stopping point for continuous flow products or services.
Step 2: Define the defect anything that does not meet a critical customer requirement, does not
meet an established standard, or causes unwanted variation.
Step 3: Calculate the number of Defects per Unit (DPU)
o Count all individual defects (or errors) on each unit (can also
be calculated for individual defect types then can identify
Total # of Defects
DPU =
which defect type is creating largest loss to RTY).
# of Units
o DPU can be graphically represented using Pareto Charts
o Note: Defects versus Defectives:
A defective unit is any unit containing a defect. There can be multiple defects in one
defective unit. Reducing defects improves RTY and leads to breakthrough process
performance.
Defectives are a result of defects. It is impossible to reduce defectives without reducing
the number of defects. Focusing on defectives often leads to costly inspection and
rework.
o DPU does not take process complexity into account
Customer call capability = 0.16 DPU
Invoice writing capability = 0.68 DPU
Is it fair to compare these two processes? Is it important?
o Defects per Million Opportunities (DPMO) is a metric that incorporates process complexity.
Can be very impractical because it is often very difficult to define an opportunity.
Only use DPMO if very important to compare two processes of different complexity.
o DPU is the preferred attribute capability metric. It measures defects, not defectives. It can help
prioritize project issues (Pareto defects).

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Continuous Data Capability

When the data are continuous, the capability is determined comparing the capability of a process
(voice of the process) to the specification limits (voice of the customer). The data must be in time
order.
Two types of capability indexes are used:
o C = Process Capability - what the process
potential is given a stable process. (Standard
deviation estimated from Moving Range or
pooled standard deviation represents common
cause variation only). Measure of what the
process performance is short term.
o P = Process Performance - what has happened,
not necessarily what will happen. (Standard
deviation estimated from the traditional formula includes both common and special cause
variation). Indicates likely process performance long term.
Cp = Capability

Voice of Customer
Voice of Process

Total Tolerance
Control Limits

USL

- LSL
6s

USL

- LSL
6s

Cp = Capability for Stable and Centered process (on target)

Want Cp to be greater than one (bigger is better). Cp > 1


Cp only accounts for common cause variation

Cpk = Capability for Stable process (not necessarily centered)

Cpk penalizes you for being off target.


If Cp > Cpk, then off target.
If Cp = Cpk, then on target.

Pp = Capability for Unstable and Centered process


Pp = Capability

Voice of Customer
Voice of Process

Total
Tolerance
Control
Limits

Want Pp to be greater than one (bigger is better). Pp > 1


If Cp > Pp, then unstable process or one with special cause
variation (in addition to the common cause variation).

Ppk = capability for Unstable process (not necessarily


centered)

Ppk penalizes you for being off target.


If Pp > Ppk, then off target.
If Pp = Ppk, then on target.

If Indices are:

Cp = Cpk = Pp = Ppk

Then process is:

Centered (On Target)


and Stable
Cp and Cpk

Report:

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Cp > Cpk
C p = Pp
UNcentered (Off
Target) and Stable
Cpk only

C p > Pp
Cp = Cpk
Pp = Ppk
Centered (On Target)
and Unstable
Pp only

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C p > Pp
Cp > Cpk
Pp > Ppk
UNcentered (Off Target)
and UNstable
Ppk only

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In Minitab: To analyze the Capability Study in Minitab:


Stat > Quality Tools > Capability Six Pack > Normal > Single column: Result of study, Subgroup Size:
Typically the number 1, Lower Spec: Enter value, Upper Spec: Enter value

Results: See chart below.

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Capability Studies Tips

Cp, Cpk, Pp, and Ppk estimate the truth. You will never know the true Ppk; it is based on estimates
of and . The estimates will change as new data are collected.
Data come from a stable process If not, performance metrics (Pp, Ppk) are only accurate measure of
current state of process. Cp, Cpk are just best case scenarios.
Data normally distributed If data are not normal because they are not stable, lack of stability is
real issue and non-normality is not an immediate concern. If data are stable and non-normal, data
may need to be transformed (see a Six Sigma Coach).
Best to control chart capability indices over time rather than relying on a single number.
For a process to be considered Six Sigma:
o Cp = 2.0
 If stable, voice of process is half the size of voice of customer
 If process is centered, mean is 6 away from either specification limit
o Ppk = 1.5
 Accounts for 1.5 shift and drift
 Note: Achieving a 6 level of capability is not necessarily the goal of every project
Capability metrics (with no customer specification) baseline of process
o Mean, Standard Deviation, DPU
Capability metrics (with customer specification) baseline of compared to expectation/requirements
o Cp, Cpk, Pp, Ppk

Common Capability Studies Pitfalls

Lacking adequate customer specifications that do not truly represent the customer needs (end-ofroll samples, averaging multiple samples, how does customer define a unit?) or specifications that are
set internally (+/- 3 maximum Cpk = 1.0).
Trying to improve numbers instead of improving process by manipulating numbers, changing
specifications, etc
Trying to see Cpk when it may not be applicable due to an unstable process.
Overemphasis on one number from a single study to measure the process (short-term vs. long-term,
tracking capability over time).
Putting too much focus on data points that do not meet customer requirements when the overall
process is stable (has only common cause variation). Often happens when a goal is on a control chart.
An in control or stable process is not necessarily good enough. While you may still need to improve
this process, your improvement strategy will be different than it might for an out-of-control process.
Having a stable but non-normal process. May need to do a transformation. See your Black Belt or
coach.

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Capability Studies Checklist

Initial Capability:
What are long and short-term process capability values?
How does the process compare to the customers perspective of performance?
Is there a significant opportunity to improve beyond current levels (e.g. how large is the gap
between Cp and Ppk)?
What are the definitions of defects and opportunities?
Baseline Data:
How much data or what time period was used to determine the baseline capability?
What variables were evaluated?
Are they stable?
Are there explanations for out of control signals?
How long was the process monitored to determine stability?
Have you captured samples of data that truly reflect the normal process?
Final (Improved) Capability:
How much data or what time period was used to determine the baseline capability?
What variables were evaluated?
Are they stable?
Are there explanations for out of control signals?
How long was the process monitored to determine stability?
Have you captured samples of data that truly reflect the normal process?
Do you have six data points indicating a sustainable special cause created by your project?

Next Steps
Complete remaining tasks in Measure Phase (Process Map, C&E Matrix, Measurement Systems
Analysis) and move onto Analyze Phase with the FMEA.

Lessons Learned

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J. Determining Data Integrity - Measurement Systems Analysis (MSA) and Test
Methods
We need to determine whether the existing project Y data and the way we measure it is good enough.
Is the available data suitable for the project? Are we measuring the right thing? Is the data trustworthy?
Can we consistently get the same results?
Process variation affects how our products and services appear to our customers. Measurement
variation affects our perception of process variation. Six Sigma depends upon data both to understand
the process and to measure improvement, so we will not be successful if the data is not reliable.

Measurement Systems Analysis (MSA) Purpose:

Identify the right data for the process measurement.


Understand and eliminate variation due to how the process is measured (through audits, gage
R&R and/or attribute agreement studies).

Measurement Systems Analysis (MSA) Goals:

Correct and valid data are identified for project analysis


Process can be consistently measured

Issue 1: Data Integrity


Available data might not have been collected with your purpose in mind. You need to determine if the
right aspects of the process are captured in the available data. For example, if you are measuring cycle
time for a process, does the available cycle time data start and stop at the same points that your charter
scope includes?

Data Integrity Checklist of Questions to Answer

What type of data is it?


Is available data usable? If not, can it be made usable?
Is data suitable for project?
o Is recorded data what we meant to record?
o Does it contain the information that was intended?
o Does the measure discriminate between items that are different?
o Does it reliably predict future performance?
o Does it agree with other measures designed to get at same thing?
o Is the measure stable over time?
Is data trustworthy?
o How can data be audited?
Is the right aspect of the process being measured? Dont want just the available data, want the
right data. The data can be from a very reliable source, but isnt exactly what you need for your
project. For example, is income the right data for net worth?

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Issue 2: Data Reliability
Once we have the right data we must determine our ability to measure it using statistical tools. Variation
exists in every process. The question is how much of the variation is caused by how the data is collected.
The key question on data reliability: Is the measurement system producing good data?
Hint: Study variation of Project Y (output) measurement system first, then focus on measurement
system for critical Xs (inputs) only

Data Reliability Checklist of Questions to Answer

How big is the measurement error?


What are the sources of the measurement error?
Is the measurement system stable over time?
Is it capable for this study?
How do we improve the measurement system?

2
2
2
Observed
= Process
+ Measuremen
t System
Focus on this piece

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Data Reliability Terminology

Resolution Number of decimal spaces needed to be measured by the system. Increments of


measure should be about one-tenth of width of product specification or process variation. Example of
two levels of resolution: 1 inch versus 1.2 inches.

Accuracy Difference between measurements and true value.


o Bias Comparison of the average of all data points to the true value required by the customer.
Example of an inaccurate process: process average is 2.5 hours, customer requirement is 7 hours.
Bias is difference average and true value: example between 7 hours and 2.5 hours which equals
4.5 hours. Must have a reference or calibration standard to assess accuracy. Accuracy is
dynamic; without calibration it will deteriorate over time!
o

Stability Consistency of process over time.

Precision Excess variation in multiple measurements of same part with same device.
o

Repeatability Repeated measurements by the same variable are consistent under same
conditions (same operator, same unit, same environmental conditions, short-term). Typically
identifies an equipment issue. Example: Same person doing the same activity gets the same
results.

Reproducibility Repeated measurements by the different variables are consistent under same
conditions. For example, different people using , same instrument, measuring identical
characteristic. Typically identifies an issue with operators. Example: Two different people
doing the same activity get the same results.

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Data Reliability Ways to Verify
Use one or more of the following methods to determine if the measurement system is accurately
measuring the process and if you can rely on the data. Check with Black Belt or coach for the appropriate
tool(s) for your project.
Audits
o Used to verify reliability of data from most business processes. The team must find a way to
verify the data with a second, independent source to assure ourselves the data is a clear and
accurate record of actual characteristics or events of interest.
o Used to measure business indices, numbers from databases (sales, costs), dates or times (cycle
time projects). Basic goal is very simple: Is data correct and valid?
Gage R&R Studies
o Used to measure consistency of continuous data by comparing individuals to themselves and
each other.
o Used to measure physical properties (product quality, thickness, viscosity) or rating scales (RealWin-Worth, Charter metric).
Attribute Agreement Analysis
o Used to measure consistency of discrete data by comparing individuals to themselves and each
other.
o Used when assigning yes/no, pass/fail, or when assigning items to categories (reasons for
customer returns; type of defect).

Audits

Used to verify reliability of data from most business processes. The team must find a way to verify
the data with a second, independent source to assure ourselves the data is a clear and accurate record
of actual characteristics or events of interest. Can be used to measure business indices, numbers from
databases (sales, costs), dates or times (cycle time projects). Basic goal is very simple: Is data
correct and valid?
For example, a team could compare two different new product sales reports to determine if the same
products are listed on both reports. Then, other analysis tools can be used like Regression.
Audits must be independent of data collection, processing and reporting system we are assessing.
Compare results from normal data system with data from a second, independent source. Do we get
same answer from both sources?

Audit Methods
For most organizations, data is kept in computer databases (consider involving an IT representative).
Some portions (if not all) of data processes are already being checked automatically for data integrity
Check Super Ys for MSA replication opportunities.
Determine acceptance criteria in advance. For example:
o Errors on less than X% of samples
o No errors more than Y units (or Y%) away from the correct value
No one size fits all approach to data integrity auditing. Types of audits include:
o Comparing a computer system to: another computer system, manual reporting system or physical
records.
o Observing a process to verify correct data entry.
o Looking at the data to find impossible or questionable results.
o Using surveys to double-check results.

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Gage R&R Studies

Used to measure consistency of continuous


data by comparing individuals to themselves
and each other. Can be used to measure physical properties (product quality, thickness, viscosity) or
rating scales (Real-Win-Worth, Charter metric).
For example, if the measurement system involves estimating the dollar value of an opportunity, a
study can be done to see how consistently person A estimates a particular opportunity more than
once. The study also analyzes how similar A and Bs estimates are to each other.
Gage R&R metrics are:
P/T Ratio = Precision to Tolerance Ratio
What is it? Compares Measurement System Variability
6 * MS
6 * MS
to the Product Specification (customer specifications
P /T =
=
USL and LSL). Includes repeatability and reproducibility.
Tolerance (USL LSL)
What question does it answer? How much of the
product tolerance (USL - LSL) is taken up by measurement error?
** Must have customer (or product specifications at least) to get the P/T ratio!**

% R&R (%SV = %Study Variation)


What is it? Compares the Measurement System Standard

% R & R or (%SV ) = MS 100


Deviation to the Total Observed Standard Deviation
Total
(process and measurement system together)
What question does it answer? How much of total
observed variation is taken up by measurement system?
How is it calculated? Calculated based on the standard deviation of the measurement
system and the total variation.

Conduct a Gage R&R study to quantify repeatability and reproducibility components of measurement
variability and estimate %R&R. May also obtain P/T ratio if process specifications are available.
Need the following:
o 2-3 operators, spanning the capabilities or experiences
o 5-10 samples, spanning the normal range of the process
 Hint: (number of samples) X (number of operators) > 15 (before repeating and
no duplicates)
Each sample is measured 2-3 times by each operator in a random order with time between the
evaluations for each operator.
o Hint: If conducting a destructive test, it may be best to use 5-10 batches with only 2
replicates (or samples within each batch) in order to minimize confounding with sample.
Also, the samples need to be as identical as possible.
See your Black Belt for more information on sample sizes and setting up a Gage R&R study

In Minitab: To analyze the Gage R&R study in Minitab:


Stat > Quality Tools > Gage Study > Gage R&R Study (Crossed) > Part numbers: Select item being studied,
Operators: Select operators, Measurement data: Select results of study, Click on Options > Study variation:
Enter the number 6, Process tolerance: If known, enter the range of the customer specifications

Results: See table and graph on next page.

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Classification
Best Case
Acceptable
Unacceptable (unless destructive)
Unacceptable when destructive

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P/T
< 10%
< 30%
> 30%
> 50%

% SV or % R&R
< 10%
< 30%
> 30%
> 50%

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% Contribution
< 10%
< 30%
> 30%
> 50%

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Attribute Agreement Studies

Used to measure consistency of discrete data by comparing individuals to themselves and each other.
Can be used when assigning yes/no, pass/fail, or when assigning items to categories (reasons for
customer returns; type of defect).
For example, if the measurement system involves classifying customer complaints into categories, a
study can be done to see how often person A agrees with himself in categorizing the same complaints,
and how often person A and B agree with each other.
Attribute (discrete) data contains less information than continuous data, but sometimes it is all that is
available. Therefore, you must be even more demanding about the integrity of attribute measurement
systems.
Goals of attribute agreement studies are similar to MSA goals for continuous data systems. In
attribute MSA we are getting similar information, but in a different approach with new metrics.
Attribute agreement metrics are:
% Agreement how many agreements did you have out of all possibilities (samples)?

Agreement within appraisers (repeated trials - repeatability)


Agreement between appraisers (reproducibility)
Agreement of appraisers with expert or known standard (accuracy)

Kappa level of agreement after random chance is removed (how much better than random
chance?)
Individual Kappa for category represents how consistently
each appraiser rates same samples over multiple trials in one
category

within appraisers
Overall Kappa for each appraiser represents that appraisers
consistency across all categories
Individual Kappa for category represents how consistently
all appraisers categorized samples in that category

between appraisers
Overall Kappa represents study-wide agreement (across
appraisers and categories)
Individual Kappa for category represents how consistently
each appraiser rates same samples in one category compared
to expert

appraisers with expert


Overall Kappa represents study-wide agreement (across
appraisers and categories) to expert

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Note: If there is substantial agreement, there is the possibility the ratings are accurate. If agreement is
poor, usefulness of ratings is extremely limited.

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Conduct an attribute agreement study to quantify repeatability and reproducibility components of


measurement variability and estimate Kappa.
Need the following sample:
o 2-3 operators, spanning the capabilities or experiences
o 30-50 samples, spanning the normal variation and extremes of the process (Majority
should be from gray areas. Remainder should be clearly good or clearly bad)
Method to conduct the study:
o Select 2-3 people who normally conduct the assessment.
o Randomly provide samples to one person (without indicating which sample is which) and
have the person rate each of the items.
o Once first person has reviewed all items, repeat with remaining people.
o Once everybody has rated each item, repeat steps above for a second trial.
o Note: All possible combinations of appraisers, items, and trials should be represented:
 Each appraiser must examine all of the items.
 Each appraiser must examine those items the same number of times (trials).
o Note: Requirements for use:
 Units to be measured are independent from one another.
 Raters inspect and classify independently.
 Rating categories are mutually exclusive and exhaustive.

In Minitab: To analyze the Attribute Agreement study in Minitab:


Stat > Quality Tools > Gage Study > Attribute Agreement Analysis > Attribute column: Select result of study,
Sample: Select item being studied, Appraiser: Select operators, Known standard/attribute: Select experts
ratings, Click on Results > Choose In addition, kappa and Kendalls (ordinal data) coefficients

Results: See table below


Classification
Perfect agreement
Excellent
Acceptable Some improvement warranted
Unacceptable Measurement system needs attention significant effort required
Random agreement flip a coin

Kappa
1
>0.90
>0.70
< 0.70
-1 to 0.0

Attribute Measurement Systems Improvement Techniques

Visual aids
Operational definitions
Cleaning up category codes
Sense multipliers (devices to improve human senses)
Masks / templates (block out unimportant information)
Checklists
Automation
Reorganization of work area

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MSA Tips

See your Black Belt for more information on sample sizes and setting up a Gage R&R and/or attribute
agreement studies.
To audit business data, audit documents must be produced to show the relevance and correctness.
Relevance must always be checked, especially for relative values such as square meters per time unit
or material, etc
In the Gage R&R analysis repeated measurements on the same part must be possible. When
destructive test methods are used, homogeneous material must be used.
To validate data from databases use known test inputs or compare with original data.
A plausibility check is useful for large amounts of data, whereby the data for each variable are sorted
by size. It is important to return the data to their original state after the test.
All MSA studies need to have precisely defined test conditions.

Common Process MSA Pitfalls

Assuming that corporate database information is automatically good. The data may not have been
collected correctly or with your purpose in mind.
Not conducting MSA until very late in the project.
Measuring equipment does not have a high enough resolution.
Assuming that projects on business processes (non-manufacturing) dont require an MSA. Many
business processes may not have a measurement system at all and will require the project team to
create one.

MSA Checklist

Have you picked the right measurement system? Is this measurement system associated with either
critical inputs or outputs?
What do the precision, accuracy, and stability look like?
What are the sources of variation and what is the measurement error?
What needs to be done to improve this system?
Have we informed the right people of our results?
Who owns this measurement system?
Who owns trouble shooting?
Does this system have a control plan in place?
Whats the training frequency? Is that frequent enough?
Do identical systems match?
What are the major sources of measurement error?
Did you conduct an MSA on the project Ys and all critical inputs (Xs)?
How much measurement error exists compared to the process variation (% R&R)?
How much measurement error exists in comparison to the specifications (%P/T)?
Is the measurement system acceptable for the process improvement efforts? If not, what actions
should be taken?
How were the samples chosen? Do they adequately cover the entire process?

Next Steps
Complete remaining tasks in Measure Phase (Process Map, C&E Matrix, and Capability Studies) and
move onto Analyze Phase with the FMEA.

Lessons Learned

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IV. Analyze/Investigate Part 2
Analyze Phase Purpose:

To begin learning about the relationships between the Xs and Ys and identify potential sources of
process variability

Analyze Phase Goals:

Reduce the number of inputs (Xs) to a manageable number


Determine the presence of noise variables through Multi-Vari Studies
Plan first improvement activities

A. Multi-Vari Planning and Analysis


Multi-Vari Analysis Purpose:

Collect data and search for clues about the inputs (Xs) that have the biggest effect on the output (Y).
Collect data to support intuition and experience that created C&E and FMEA.
Discover inputs initially missed on process map, C&E, FMEA.

Multi-Vari Analysis Goals:

Find the key inputs (Xs) to advance to the Improve phase and avoid wasting time experimenting and
controlling unimportant inputs (Xs).

Multi-Vari Analysis is a study of MULTIple VARIables. It is an organized approach to collecting and


analyzing data without changing or experimenting with the process. Passive data collection. The three
ways to always look at data include: Practical, Graphical, and Analytical.

Cautions with a Multi-Vari Study

Recall the Laws of Snapshooting: beware of looking at only one point in time. Need to study
entire process.
Look at everything that seems pertinent. Go in with an open mind otherwise you will only see what
you expect to see and miss something the process has to tell you.
Be aware of biases (conscious or unconscious). They limit the way we look at data or situations.
Instead let the data tell you whats important.

Steps to Conducting a Multi-Vari Study


Step 1 Determine which Xs (inputs) and Ys (outputs) to study Must be measurable!

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Ys: primary, secondary and counterbalancing Ys typically from the charter. May be final
process
Xs: prioritized from FMEA (look for Causes of Failure Modes)
Use tools to focus study only on suspected critical Xs and potential noise variables (C&E;
FMEA causes of failure modes for high RPNs; control charts and capability studies
Xs that might make common or special cause variation)
Noise variables: Xs that cannot or choose not to control. Important noise variables need to be
identified so compensating mechanisms can be put in place. If possible, address these sources of
variation early in Improve phase before attempting experiments on currently controlled input
variables. Examples:
Manufacturing raw material properties, humidity, temperature, supplier lead time,
customer demand;
Transactional economic conditions, customer demand, customer payment policy,
competitor actions.

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Step 2 Establish objectives or questions relating specific Xs to specific Ys to be
answered or supported with data

Does a specific input (X) influence a specific output (Y)?


What type of data are inputs and outputs and what graphs/statistics can be used to analyze the
data?
What theories (hypotheses) need to be answered?
Critical to think about the objectives and the data analysis simultaneously before collecting data.

Step 3 Identify sources of data for each X and Y (S.H.O.P.) May need more than one
approach to capture all Xs and Ys
Surveys

May be the only source of data especially for some


business processes
Data depends on the quality of the survey design be
careful not to ask leading questions
Can be expensive and time consuming
Historical data
Least disruptive; can provide quick insights into input (X)
and output (Y) relationships
Generally available, but quality may be questionable if
carelessly recorded
3M has many systems that collect data. Can provide quick insight into X and Y relationships.
Can learn from previous projects data.
Reassembling historical data can provide new insights. For example: studying last 50 product
transfers, reviewing previous new product introductions, product conversions, equipment
downtime, equipment installations. Collecting reassembled data may require interviews, surveys,
or reviewing old records.
Cautions:
o Obtaining and manipulating data may be time consuming
o May not represent todays process
o Data not necessarily collected with your objectives in mind may be missing Xs
o Integrity can be suspect if information recorded carelessly or has a poor measurement system.
Observe Process
Always the best choice, but may be impractical.
Can plan data collection to meet project needs.
Can learn more from watching than relying on memories & opinions
Allows flexibility in data collection. Can observe special causes, pareto sources of variation, and
observe Xs causing changes in Y.
May require new measurement systems or taking more frequent measurements.
Moderately disruptive watch for the Hawthorne effect (people change what they do because
they are being watched)

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Step 4 Plan the data collection
Surveys: Limit questions and include good operational definitions. Choose broad representation

of people to survey. Get help designing a good survey from your Black Belt or coach. Also, see
section Survey/Questionnaire Tip Sheet.
Historical: Entire population or sample? Time period to pull? Can the Xs be synchronized with
the Ys (Y may be affected by X in an earlier time period)? Organization of data (how and
where will the data be inputted)?
Observe the Process:
o Search for sources of variation. Observe the effect of Xs on the Ys. May design a
noise tree to help identify which noise factors have biggest impact.
o Plan data collection. Need clear roles & responsibilities (who will collect what data),
operational definitions, timing (when to start, how long to observe, how synchronize Xs
with Ys), copious notes, and prompt data logging (enter as soon as possible to minimize
risk of losing or forgetting information).
Use the Multi-Vari study worksheet to organize data collection and analysis plan (see ubertool).

Step 5 Run a pilot

No matter what the data collection method, run a pilot!


Verify that: youll get the information you need; Xs and Ys are measurable; resources are
adequate to collect data; data collection plan is thorough; operational definitions are clear; and
data analysis plan will work.
Things can learn from pilot:
Surveys: Questions misleading, biased, or confusing; anonymity issues exist; people surveyed
may not have necessary knowledge; survey takes too long; surveyors ask questions differently.
Historical and observing the process: Cant synchronize Xs and Ys; identify additional Xs to
study; MSA issues exist.

Step 6 Make necessary changes to plan

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Update based on the learnings from the pilot. Might include additional Xs needed, reallocating
resources, revised or removed survey questions, or clarify operational definitions.

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Step 7 Run study and collect data

Gather data, log any unusual observations, and format for Minitab. Minitab prefers: list inputs
(Xs) 1 per column; list outputs (Ys) 1 per column; add a separate column for capturing text
comments. Can enter the data in Excel and then copy to Minitab.

Step 8 Analyze data

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Graph the data first (using your roadmaps!):


Control charts or Time Series plots of Ys and Xs (if theres a time sequence)
Boxplots of Y vs. Discrete X
Dotplots of Y vs. Discrete X
Scatterplots or Matrix plots of Y vs. Continuous X
Main Effects Plot of Y vs. Discrete X
Use statistical techniques to validate the graphical results:
T-test on Discrete X
ANOVA on Discrete X
Regression on Continuous X

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Multi-Vari Tips

Include the following when presenting the Multi-Vari results:


Objectives: Inputs and outputs studied, theories and hypotheses
Stability: Control charts to track key xs; project y(s)
Significant results: Using BOTH graphs and statistical analysis, demonstrate the practical and
statistical significance of inputs on outputs. Often helpful to also show which inputs were proved
insignificant.
Conclusions: Recommendations for next steps (ie: further data collection & studies, experiments, etc)
During planning of the Multi-Vari study, consult with a Black Belt or a Green Belt Coach for other
potential considerations.
Refer to the Roadmaps for graphs and statistical tools while planning & analyzing your data.
Some people like to do a Multi-Vari study before the FMEA to learn more about the process and to
identify other Xs.
Organize your questions and data analysis plans before collecting any data (use the Multi-Vari Study
Worksheet).
Look at everything that seems pertinent.
See the Multi-Vari planning worksheet in Appendix and tool in Ubertool.

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Common Multi-Vari Analysis Pitfalls

Passive observation can provide too narrow of a range of X behavior


especially for controlled variables (see chart on right).
Interactions may be present, but we have only investigated one input (X) at
a time.
Multicollinearity (Confounding) may be present. Occurs when the Xs are
correlated with each other. Makes it difficult to determine which X has a
real effect.
Biases (conscious or unconscious) limit the way we look at data or
situations. Be aware of them and include a variety of people and thoughts
in the planning, collecting and analyzing of the data.
Recall the Laws of Snapshooting: What you look at is what you see and what you look for is what
you find.

Reporting Multi-Vari Results

Include in final report:


o Description of what trying to accomplish (plan): objectives, input and output variables
measured, sampling plan used to collect data, and process settings
o Stability of process: trend/control charts, histograms
o Results for each X (significant relationships): graphical analysis (e.g. boxplots, scatterplots)
and statistical analysis
o Conclusions of findings: recommendations for further studies, areas to focus improve efforts
Conclusions should be:
o Supported by data (not based on conjecture or intuition)
o Shown in graphical and statistical format
o Sensible from a process standpoint

Multi-Vari Checklist

Who helped developed the Multi-Vari analysis study?


How was the study conducted?
Were all parts of the process adequately represented in the study (plan, results for each X, summary)?
What were the results? And, what do they tell us needs to be done going forward?

Next Steps

Revisit FMEA and develop recommended actions for key inputs (Xs).
Develop improvement strategy (e.g. designed experiment, pilot, simulation) to test out your potential
solutions.

Lessons Learned

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B. Survey/Questionnaire Tip Sheet
Why use surveys/questionnaires?
Cost effective
No interviewer bias
Large samples in short time frame
Convenient to fill out
Easy to tabulate
Uniform presentation of questions
Administering Surveys/Questionnaires Modes: Mail, Fax, Email, Phone, Internet
Upfront Survey Planning:
What is the main question or objective(s)?
What are the Ys and Xs to be collected?
Whats the timeline?
How will survey be administered?
Who is target audience? How will they be selected?
How will data be analyzed?
Plan ahead for:
Turnaround time
Number of reminders to increase response rate
Approximate costs
Sample size for the costs
Incentives
Time before last survey
Formats and number of questions
Constructing the Questions:
Single most difficult task, but most critical!
Clarity of meaning of each question very important
Always PRE-TEST the questionnaire
Use different formats depending on information needed (depends on X and Y)
o
o
o
o
o

Free-answer (open-ended)
Dichotomous Only 2 possible responses
Multiple-choice choosing one from many options nominal, ordinal, or scale rating
Fill-in-the blanks (number or word)
Ranking based on specified criterion

Asking the questions DOs:


Use language familiar to the audience
Be clear as to wanting fact or opinion as response
Ask people about their firsthand experiences and where they can give informed answers
Questions should be worded so that all respondents are answering the same question
All respondents should have the same sense of is what the meaning; provide definitions where
necessary
Write good operational definitions for all rating levels
If definitions are to be given, give them before the question itself is asked.
Limit questions to relate only to suspected critical Xs
Limit open-ended questions they are insightful but can be difficult to directly relate Xs to Ys
Do a pilot study for your survey not just to your friends, but to potential recipients
Plan data analysis before launching full survey
If what is to be covered is too complex to be included in a single question, ask multiple questions.
Asking the questions AVOID:
Phrasing questions in a manner that suggests a response (Do you think your hard-working senators
proposal is a good one?)
Adverbs/adjectives that convey different meanings to different people (Several, many, most,
usually)
Words with double meanings
Words that evoke emotional overtones
Double negatives
If yes, then questions
Asking information that is only acquired second hand
Asking for solutions to complex problems
Asking questions that have two questions included (Do you fall asleep quickly and sleep soundly?)
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Survey Responses:
Should be a category for every possible answer
Include a dont know category if respondents might not be able to answer
Categories should be mutually exclusive and independent
Provide a continuum to evaluate and respond
Define what is to be rated
Use an Agree-Disagree format for relativity in subjective questions attitudes, opinions and
assessments
Narrative Answers (Open-ended) when cannot categorize
If respondents are filling in blanks, make it clear what is to be put there
For sensitive, personal, or difficult-to-capture issues, consider using categories rather than filling in
blanks. For example: salary, age, weight, etc; percent of time spent online.
Scales/Number of Categories:
Too little to Too much (often 5);
Amount:
Best answer may be Just-about right
None to Very strong (often 5 or 7)
Intensity (strength
of characteristic)
Never to Very often or Always (from 3, 5 or 7)
Frequency
Extremely disagree to Extremely agree, with middle of
Agreement
Neither agree or disagree (often 7 or 9 or 10)
Extremely dislike to Extremely like (5 or 9 or 10,
Liking
depending on the descriptors)
Data Collection:
Choose how you plan to conduct the survey
Pilot test it!
Check for errors, complaints, verify data structures, accuracy, delivery then launch
Determine how to increase response rates to survey
Send reminders
Monitor response rates
Choosing a Sample:
Identify the number of people needed
Identify the right people people with information on Xs
A representative sample ensures validity without extreme amounts of data
Common Pitfalls:
Bad measurement system for Y. Using surveys to obtain Y data can be extremely suspect typically
MSA issues with data reliability. If Y is discrete (pass or fail), need a LOT of data and a statisticians
help. Bad Y means a bad Multi-Vari Study.
Too many open-ended questions they dont link Xs directly to Y.
Too many questions remember: suspected critical Xs, not every X.
Key Final Points:
Keep total length to a minimum
Focus questions on learning areas and objectives
defined upfront
Pre-Test and Pilot the surveyA Must!
May need follow-up reminders

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Avoid it would be nice to know questions!


Use cover letters with instructions, timing, anonymity
issues
Wording is key

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C. Hypothesis Testing
Steps to Test an Hypothesis
An hypothesis is simply a theory that is proved/disproved using data. Hypothesis testing allows us to
properly handle uncertainty, minimize subjectivity, question assumptions, prevent omission of critical
information, and manage the risk of decision errors.

Step 1 Determine the Null Hypothesis

Presume there is no difference between the options (e.g. supplier A versus supplier B). This is called
the Null Hypothesis (Ho).
Assume the Null Hypothesis (Ho) is true. Frequently the Null Hypothesis (Ho) is the opposite of what
we hope to show.
Easier to disprove than to prove.
Hypothesis definitions:
o H0: Null hypothesis
o Ha: Alternative hypothesis

Step 2 Collect data (e.g. using Multi-Vari Studies) and calculate test statistic (signal to
noise ratio)
Step 3 Check to see if data provide evidence there is a statistical difference

Using a statistical tool, calculate the p-value ().


o p-value = Probability value: Probability the observed results could occur if Ho is true.
 Low p-value, then low probability Ho is true. Reject the Ho. P is low, Ho must go!
 High p-value, then high probability Ho is true. Accept the Ho. P is high, Hos the guy!
 p-value based on assumed or actual distribution (Normal, t-distribution, Chi-Square, Fdistribution, etc.)
 For most cases if the p-value () < 0.05, there is a statistical difference.
p-Value
Interpretation
Reaction
p-value > 0.10
No significance
Keep the null hypothesis
Potentially reject null hypothesis (Ho)
0.10 > p-value > 0.05
Weak significance
keep studying the variable
0.05 > p-value > 0
Strong significance Reject null hypothesis (Ho)
If there is a statistical difference, then reject the Null Hypothesis (Ho) there is a difference between
the options.
If there is not a statistical difference, then accept the Null Hypothesis (Ho) there is no difference
between the options.
Basically, innocent until proven guilty.

Step 4 Check to see if there is a practical difference

Practical significance addresses the question do I care?


p-Values indicate statistical significance. However, also
need to assess practical significance by looking at the
size of the difference between the two groups. Note:
Remember statistical significance is affected by sample
size, so statistical and practical significance do not
necessarily go together.
o Are differences large enough to matter? If so, they
are practically significant.
o Factors that are both statistically and practically significant can be used to manipulate the
process.

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Decision Errors

When testing a hypothesis, we do so with a known degree of risk and confidence.


There are two kinds of decision risk in hypothesis testing:
o Rejection of null hypothesis (Ho) when it is true (, Type I
error).
o Acceptance of null hypothesis (Ho) when it is false (,
Type II error)
To determine appropriate sample size, we must specify in advance: magnitude of acceptable decision
risk and test sensitivity. Consider practical limitations of cost, time, and available resources to arrive
at a rational sampling plan.

Signal to Noise

Signal is the change or difference we are trying to detect. Difference between


process average and target (bias).
Noise is the inherent variability in the system. Based on process variation.
If the ratio is:
o Small there is no real signal or difference its just noise. Results will
be displayed as a large p-value.
o Large the signal or difference is seen over and above the noise its real. Results will be
displayed as a small p-value.
o If the signal-to-noise ratio is large enough, we conclude that the effect is real

Larger signals are easier to detect


Smaller noise makes it easier to detect
signals

Smaller signals are harder to detect


Larger noise makes it harder to detect
signals

Hypothesis Testing versus Confidence Intervals


Confidence intervals are a concept related to hypothesis testing:
Hypothesis tests tell whether or not there is a statistical difference.
Confidence intervals give you an estimate of what the difference is (if any). They take into account
variability of process. They provide more information about uncertainty of conclusions. They are
similar in concept to control limits on a control chart. They will generally be a part of Minitab output
along with p-value.

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Sample Size Cookbook
See your Black Belt or Coach for assistance with determining sample size. If youd like to try on your
own, here is the Sample Size Cookbook.
1. Define problem
2. Develop objectives
3. Establish hypotheses
4. Design test
a) Establish Alpha ()

Choice of should depend upon practical considerations financial risk, safety risk, or other risk
to the customer
Typical value is = 0.05
What are the consequences of rejecting H0?

b) Establish Beta ()

Typical values are = 0.10 or 0.20


The power of a test is equal to 1-
 High power (e.g., 0.8 or larger) improves the chance of successfully identifying improvement
opportunities
This risk is especially important when trying to show that an X has no effect.
If the averages differ by , what are the consequences of failing to detect it?
c) Establish Delta ()
The minimum difference () from the hypothesized value we want to detect with power 1-
is the Signal were trying to detect in the Signal/Noise ratio
How far apart should the averages be for practical significance?

d) Establish Sigma ()

If theres no good estimate of , we can work with the ratio / to specify the effect in relative
terms (e.g., we may be looking for a 2 effect)

e) Establish Sample Size (n)

5.
6.
7.
8.
9.
10.

For tests of the mean, the relationship among the five variables , , , , and n determine the
sample size
If we know any four of the five variables, we can calculate the fifth

Devise sampling plan


Conduct test
Measure and record data
Conduct statistical test
Make statistical decision
Translate decision into action

** The guidelines for sample sizes are (more data means higher confidence):
Comparing Mean = 5-10 for each group
Comparing Standard Deviation = 25-30 for each group
Analyzing Survey = 50 for each category of study

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Minitab Example
Minitab has sample size calculation tools that can be used to determine the appropriate sample sizes. The
following Minitab examples are for continuous data.

Question: How much data do I need to detect


a difference of 5 units between two populations
when each population has a standard deviation
of 5 units?
In Minitab: Stat > Power and Sample Size > 2Sample t-Test >
Sample Sizes: leave blank,
Differences: Enter the difference between the
population means you are trying to detect (e.g. 5),
Power Values: Enter the desired probability of
being able to detect the specified difference (e.g. .5
for 50%, .95 for 95%),
Standard Deviation: Enter the estimate of the
population standard deviation (e.g. 5)
> Options: Significance level: Default is alpha ()
of .05.

Results: See Minitab table at right that


displays the Sample Size for each target Power
Value. For this example, sample size of 27 to
be 95% confident of detecting a difference of 5
units when the standard deviation is 5 units.
Only 17 samples (data points) needed to be 80% confident in the shift.

Question: How much data do I need to detect


a difference of 5 units between three or more
populations (levels) when each has a standard
deviation of 5 units?
In Minitab: Stat > Power and Sample Size >
One-Way ANOVA >
Number of levels: Enter the number of levels (e.g.
4)
Sample Sizes: leave blank,
Values of the maximum difference between means:
Enter the difference between the largest and
smallest level means you are trying to detect (e.g.
5),
Power Values: Enter the desired probability of
being able to detect the specified difference (e.g. .5
for 50%, .95 for 95%),
Standard Deviation: Enter the estimate of the
population standard deviation (e.g. 5)
> Options: Significance level: Default is alpha
() of .05.

Results: See Minitab table at right that


displays the Sample Size for each target Power Value. Sample size of 36 to be 95% confident of
detecting a difference of 5 units when the standard deviation is 5 units. Only 23 samples (data points)
needed to be 80% confident in the shift.

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Excel Examples
Sample Size Calculator.xls is commonly used for determining audit sample size. It is found in the
Information & Tools Database.

Attribute Audit Assume an infinite population and I suspect that the database is 98% accurate
(match). I want to be 90% sure that this is true within 5% (or Im 90% confident Im between 93% to
103% accurate).
Attribute SAMPLE SIZE Calculator
I want to be

90

My best guess at the "true" percentage is


% confident that my estimate is within +/My population is about this big:
n=

98 (If unkown, enter 50)


5
0 (Enter 0 if it's essentially infinite)
22

Continuous Sample I want to detect a shift of 10 units in a continuous Y when the standard
deviation is 25 units. I want to be 95% sure there has been a change in Y.
Continuous Data SAMPLE SIZE Calculator
I want to be

95

What is the standard deviation of Y?


% confident that my estimate is within +/My population is about this big:
n=

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25
10
0 (Enter 0 if it's essentially infinite)
25

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D. Statistical Tests
Which Statistical Test Do I Use?
The following statistical roadmap provides a structured approach to statistical tools. The tool to be used
is dependent on the type of data (continuous versus discrete).

How Do I Stack My Data?


Hint: Its easier to get useful graphs and analyses when data are in same column (e.g. single column for
Y, one column for each X).
In Minitab: To stack data in Minitab:
Data > Stack > Columns > Stack the following columns: Select the columns you want to stack; Column of
current worksheet: Enter the name for the output (Y) column; Store subscripts in: Enter the name for the input
(X) column; Check the Use variable names in subscript column box

Results: Data will be stacked in one column for X and one column for Y.

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Chi-Square
Chi-Square is a test to see if a discrete input (X) and discrete output (Y) are independent.
Ho presumes they are independent
o H0: Data are Independent (e.g. Color preference is not influenced by gender)
o Ha: Data are Dependent (e.g. Color preference is influenced by gender)
o Example: If gender and color preference are independent, percent of women who prefer blue
should be approximately same as percent of men who prefer blue.
Chi-Square test determines statistical significance. Chi-Square statistic is based on expected and
observed frequencies (and the number of
categories for X and Y). For example:
o Count observed number of:
 Women who prefer blue and women
who prefer red
 Men who prefer blue and men who prefer red
o Determine number that would be expected if gender and color preference were independent.
o Use Minitabs Chi-Square test to calculate expected number and p-value. If p-value is < 0.05,
reject H0.
Expected frequencies for each group must be at least five for the Chi-Square to meet assumptions
In Minitab: To calculate Chi-Square in Minitab:
Stat > Tables > Cross Tabulation and Chi-Square; Rows is Discrete X; Columns is Discrete Y;
Frequencies is actual values; Display: Check the Counts box; Chi-Square: Check the Chi-Square
analysis and Expected Cell Counts boxes

Results: Look for p-value to see if should reject null hypothesis.

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Example:

Question: Did my project shift the


survey results to a more positive
outcome?
Results: No significant change in results
of survey (satisfaction) between survey 1
and 2 (P-Value = 0.115).

Same Question Different Data and


Different Result: Did my project shift
the survey results to a more positive
outcome?
Results: Significant change in results
of survey (satisfaction) between survey
1 and 2 (P-Value = 0.000).

Chi-Square Comments:
Can be useful for discrete Y and for highly skewed continuous Y.
At least 80% of expected frequencies must be > 5 for Chi-Square Test to meet assumptions.
o If expected frequencies are less than 1, Minitab will not calculate a p-value.
o Categories can be combined to overcome this issue.
Data should be gathered to assure randomness beware of other hidden factors (Xs).

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1-sample t-Test
1-sample t-Test is used to compare a continuous output (Y) average () and a specific value (e.g. target,
goal, belief).
The test is a Signal-to-Noise ratio that compares sample averages to what would be expected if H0
were true.
o Signal is the difference between the average and target ( Target).
o Noise is the standard deviation of the differences.
Data should be stable and normal. Test still performs well with moderate departures from normality
See the following roadmap for how to conduct a 1-sample t-Test.

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2-sample t-Test
2-sample t-Test is used to compare a discrete input (X) with two levels (e.g. Supplier A and Supplier B)
and a continuous output (Y). 2-sample t-Test answers the question: is the mean of Supplier A different
than the mean of Supplier B?
The test is a Signal-to-Noise ratio that compares the two
sample averages to each other.
o Signal is the difference between the two averages (a b).
o Noise is the standard deviation of the differences.
t-Test makes two assumptions: data are stable and normal. t-Test still performs well with moderate
departures from normality.
Sample size does not have to be equal.
Example: Common use of the 2-sample t-Test is with initial and final (or improved) capability.
Question being asked is did my project produce a shift in the performance of the process?
Ho: Initial capability = Final capability
See the following roadmap for how to analyze a 2-sample t-Test.

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Paired t-Test
Paired t-Test is used when comparing two paired continuous (Y) measurements of the same process or
event. The data must be related in some way.
The test is a Signal-to-Noise ratio that compares the population mean of the differences to the
hypothesized mean of the differences (often Ho is mean of difference = 0, not always).
o Signal is the difference between the two ( d = 0).
o Noise is the standard deviation of the differences.
The number of data points must be the same for each group and organized in pairs with the same
relationship. This test looks at differences between the matched pairs and is therefore able to factor
out noise that happens among the pairs.
Examples: a) Two observers collect inventory data on the same day. Are they the same? b) Two
testers each collect the same time to process the same part during a manufacturing run. Do their
results match? c) Two people watch the same paper helicopter drop. Do their flight times match? d)
One patient is evaluated before and after a new drug treatment. Is there a difference in the patients
condition?
Test assumes the paired differences are independent and identically normally distributed. Test still
performs well with moderate departures from normality.
See the following roadmap for how to analyze a Paired t-Test.

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Test for Equal Variances (a.k.a. Levenes Test)
Test for Equal Variance is used to compare the variability of a discrete input (X) with two or more levels
(e.g. Supplier A and Supplier B) and a continuous output (Y).
Test for Equal Variance makes two assumptions: data are stable and normal. Test for Equal
Variances still performs well with moderate departures from normality.
Sample size does not have to be equal.
Variance testing requires a relatively large sample size e.g. 20-30 samples. Smaller sample sizes can
be used but the sensitivity of the test decreases. Failure to detect a difference with a small sample
does not necessarily mean no difference exists but rather the sample may be too small. In the case
where variability needs to be validated a good size sample must be obtained.
See the following roadmap for how to analyze a Test for Equal Variance.

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Analysis of Variance (ANOVA)
ANOVA is used to compare a discrete input (X) with two or more levels (e.g. Supplier A, Supplier B and
Supplier C) and a continuous output (Y). ANOVA answers the question: is Supplier A mean = Supplier
B mean = Supplier C mean?
Residuals are the difference between what is observed and what is predicted.
o ANOVA makes predictions for each factor level. Predicted value for an observation from a given
level is the mean of all observations at that level.
o Residual for a given observation is difference between that observation and its predicted value
(Residual = Observed Predicted).
o Residuals analysis helps validate assumptions made in the analysis.
Statistical assumptions are made:
o Standard deviation is the same for each level of the factor.
o Residuals should be normally distributed.
o Responses are independent and normally distributed.




If data are collected over a very short time period there is a risk of dependent means.
Randomization and adequate sample sizes usually address this.

ANOVA is very robust to moderate departures from normality.


See Residuals Model Adequacy for discussion on residuals.
See the following roadmap for how to analyze an ANOVA test. See the following page for
interpretations of the results.

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Main Effects Plot
The Main Effects plot is a good graphical representation of the ANOVA results. It allows comparisons of
a discrete input (X) with two or more levels (e.g. Supplier A, Supplier B and Supplier C) to a continuous
output (Y). The Main Effects plot is similar to a box plot but with less detail.
In Minitab: To create a Main Effects plot in Minitab:

Stat > ANOVA > Main Effects Plot; Response is Continuous Y; Factors is Discrete X

Cautions:
o Small samples can produce misleading results. Always do a dotplot or individual value plot after
doing a Main Effects plot.
o Dont create a Main Effects plots with continuous Xs. The X-axis on a Main Effects plot spaces
all values equally, which can distort relationship between continuous Xs and Ys. Use scatterplots
instead.

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Individual Value Plot
The Individual Value plot is another graphical representation of the ANOVA results. It allows
comparisons of a discrete input (X) with two or more levels (e.g. Supplier A, Supplier B and Supplier C)
to a continuous output (Y). The Individual Value plot is similar to a dot plot but tilted on its side.
In Minitab: To create an Individual Value Plot in Minitab either select it as a graph option when
running an ANOVA test or complete the following steps:
Graph > Individual Value Plot > One Y; With Groups > Graph Variables is Continuous Y; Categorical
Variables for Grouping is Discrete X

Please note: If the Individual Value Plot is done as listed above, the graph above will be
displayed. If the Individual Value Plot is selected as a graph option within ANOVA, the
following graph will appear (difference in graphs is the means are identified and connected).

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Regression/Correlation
Correlation is the strength of the linear relationship between two continuous variables. (Correlation does
not prove causation.)
Regression (also known as Correlation) analysis is a statistical technique used to investigate and
model the relationship between continuous variables.
o Simple Linear Regression relates one continuous X with one continuous Y.
o Multiple Linear Regression relates more than one continuous X with more than one continuous
Y. The Matrix Plot can be used to visually assess possible relationships.

Model parameters (e.g., estimates of slope and intercept) are obtained using the method of least
squares.
o If there is no correlation, the best fit is y = y
o The line created by Minitab has the formula Y = b + mX

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Residuals Model Adequacy

Model adequacy is checked by reviewing the


quality of the fit and checking residuals.
o Residual is actual value minus predicted value
(the line). Residuals may be negative or
positive.
o Residuals are used to check for model
adequacy because they tell us if key
assumptions are met.
o Residuals should have constant variance, be normally distributed, and be in control over time.
o Residual evaluation is an essential step in a regression analysis. It gives you a warning sign if the
fitted model is not appropriate.

R2 is the Coefficient of Determination the proportion of variability


explained by the regression model.
o R2 is a useful measure for assessing the fit (higher is better).
o High R2 does not guarantee a good fit! Always graph the data.
o Low R2 does not mean the variable is unimportant! As long as p-value is low, only means there
are additional important Xs.
o How high R2 should be depends upon type of process and data being studied. Greater than 70%
is often considered good for transactional projects.
1

R2

R adjusted Statistic:
o R2 increases when any factor is added to the model, even if the
factor does not explain a significant amount of variation.
o R2adjusted adds a penalty for keeping insignificant factors in the
model.
o Note relationship between R2 and R2adjusted as the number of factors
in the model increases.

R 2ADJ

Higher-order models of Regression If the Residuals versus Fits plot shows a parabolic shape (e.g.
smile or frown), a higher order model may be needed.
o Minitabs Fitted Line Plot will allow a quadratic term. The fitted line plot also allows a cubic
term, but it often results in overfitting the data. Do not use it without consulting your Black
Belt or Coach.

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Pitfalls of Regression:
o Do not extrapolate to predict Y at levels of X that havent been studied (e.g. studied advertising
spend between 100 and 200 can not extrapolate what sales will be at advertising spend of 400)!!
You can use the model to predict for values within the area of study.
o Watch for the influence of a few outlier values.
 If the outlier is a bad value, then the model is wrong. However, if the outlier is real, it
should not be removed. It is a useful piece of data on the process. Refer to your notes or
other information to understand the outlier. Evaluate model with and without outlier to
determine its effect.
 If the outlier is an extreme value, it may be artificially influencing the results. Refer to
your notes or other information to understand the extreme value. Evaluate model with
and without the extreme value to determine its effect. If your conclusions change
significantly, the point is too influential and should be removed. Also be careful about
interpreting the results when there are large gaps in the Xs that cause the extreme values.
o Be aware of nonsense relationships or wrong conclusions. The predictor input X needs to
be known to evaluate the response output Y.
o Poor MSA on input (X). Just like a good MSA is important on the outputs, good data is needed
for the inputs.

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Matrix Plot

The Matrix plot is a good tool to visually assess possible relationships between multiple continuous
inputs (Xs) and outputs (Ys). The Matrix plot shows scatterplots of all continuous variables versus .
each other. It can guide you to which continuous variables to include in a regression analysis.
In Minitab: To create a Matrix plot in Minitab:

Results: Read the Matrix plot by finding the intersection of two continuous variables.

Graph > Matrix Plot > Simple; Graph Variables are all of the continuous variables you wish to compare

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Analyze Phase Completion Checklist

Failure modes of Xs, suspected critical Xs, and relationships between Xs and Ys identified and
validated with data.
Possible improvement ideas beginning to formulate.
Project charter updated to reflect new information.
Subject matter experts involved on project team.
If you have a question, ASK!

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V. Improve/Execute

Improve Phase Purpose:

To identify and test potential solutions before implementing on a grand scale.


To verify that the proposed solutions are effective and/or to determine which options are needed.

Potential Risks of Skipping Improve Phase


Due to various risks associated with implementing most solutions, the Improve phase should not be
skipped. Need to determine if the potential benefit outweighs the risks:
Time Amount of time required to create, implement and maintain the solution
Cost Financial investments associated with implementing the solution
Complexity Solution may be intricate or interwoven with other processes. Understand if change
will slow peoples jobs or make it harder to monitor.
Backfire Potential As a result of the solutions implemented, there could be unexpected, undesired
results.

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A. Ideation
Design of Experiments (DOE) Planning and Execution
There are different ways to learn about a process:
Passively Observe naturally occurring informative events (Multi-vari Studies). If youre lucky, an
informative event might happen while youre watching.
Experimentally Create informative events by proactively manipulating input variables (Xs) to
study the effect on the output variables (Ys). Experiments, if done correctly, are efficient and
powerful.

Designed Experiments

Systematic method for using data to understand cause and effect relationships in a process.
Changes are deliberately made to inputs (Xs) to observe changes to the outputs (Ys) following the
experimental plan.
Designed experiments take into account the inherent noise (variability) in the process.
They study the effects of simultaneously changing more than one X and are able to detect interactions
between variables.

Designed Experiment Goals

Identify the optimal setting or configuration of the key inputs (Xs) for the process (by conducting a
formal experiment) and how to control those key inputs (Xs).

Benefits of Designed Experiments

Provides proof to make data-based decisions


Efficient maximum effort with minimum amount of time
Cost effective
Creates understanding and knowledge of process
Answers questions
Looks at multiple Xs at one time
Identifies main effects and interactions
Simple to analyze
Provides a mathematical model
Identifies which Xs / interactions are important or significant
Estimates error or noise

Desirable Properties of a Designed Experiment

Adequately covers the experimental region of interest


Obtains the maximum information for the minimum cost of data collection
Simple to analyze and interpret
Enable the experimenter to:
o Determine which factors are important
o Develop a mathematical model
o Test for model adequacy
o Estimate experimental error

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Common Experimental Designs

Fractional Factorial Used to initially investigate many Xs (greater than 5) and identify which are
important. (See Appendix Analysis Roadmap Fractional Factorial DOE)
Factorial Used to identify which Xs are important and form limited models. Tests all
combinations of the levels (number of settings) of two or more factors. All combinations of the
variables are run. (See Appendix Analysis Roadmap Full and Fractional Factorial DOEs)
Response Surface Used to identify how the important Xs affect the Ys and develop a model for
use in optimization, process control, and determining operating windows.
Mixture Used in formulations to identify which Xs are important and how they affect the Ys.

Two Level Factorial Experiments


Very common factorial experiment design is the two level.
Each input (X) has two levels: low level and high level
Two levels per input helps minimize total number of combinations
All combinations of inputs are evaluated
Notation used is 2k
o k represents number of inputs
o 2 refers to number of levels of each input
o 23 is an example of a three input design with 8 combinations (23 =2 x 2 x 2 = 8 combinations)
o 25 =2 x 2 x 2 x 2 x 2 = 32 combinations

Planning a Two Level Factorial Experiment

What is the experimental objective? Will the experiment answer my questions and meet my
objective?
What are the inputs (Xs)? Each additional input doubles the experiment.
What are the input (X) ranges? Need them to:
o Cover region of interest
o Be wide enough to see a potential desired effect
o Provide validation represent day-to-day process variation
o Provide development insight explore beyond current window or knowledge
What are the outputs (Ys)? Need to enhance understanding and aid decisions related to
experimental objective. Requires an adequate test method.

Common Experimental Terms

Replication Number of times each set of experimental conditions is included in the experiment.
Allows true process variability to express itself.
Repetition Multiple samples measured from each experimental condition. Provides information
about short-term process variation which can be analyzed as an output if your goal is to reduce shortterm variation.
Randomization Randomized order of gathering data. Protects against special causes during
experiment.
Experimental Scope Area (range of inputs (Xs) within which you can draw conclusions:
o Narrow Inference Experiment focused on specific subset of overall process
o Broad Inference Experiment addresses entire process (all people, all locations, all employees,
etc.). Generally, more data must be taken over a longer period of time. These studies are more
susceptible to noise variables.
Noise Factors Uncontrollable factors that increase the variability in the response. These must be
managed, but its difficult since dont necessarily know all noise factors. Use repetition, replication
and randomization to minimize the effect of noise variables. Try to keep the variables constant.
Blocking - Method of minimizing the effect of noise variables. Although every observation should
be taken under identical experimental conditions (other than those that are being varied as part of the
experiment), this is not always possible. Nuisance factors that can be classified can be eliminated
using a blocked design. Assumption is that variability between blocks should be greater than the

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variability within blocks. Rule of Thumb: If it is a variable that you are trying to study, call it a
factor. If it is a noise variable that you cant control, but know it likely will have an effect, block it.
Centerpoints An efficient way to test for the presence of curvature. Can not tell which factor(s)
cause it. An efficient way to estimate experimental error. Centerpoint replicates can reduce the need
to replicate the entire design - particularly useful for this purpose if there are 3 or more factors.

Common Designed Experiment Pitfalls

Input levels too close together or too far apart


Nonrandom experiments can produce spurious results
Sample size may be too small
Measurement systems may not be adequate
No pilot run done: Experimental runs get screwed up because of lack of discipline
Changing the design on the fly
Team members insisting that standard conditions be included as points
Extraneous sources of variation not recorded
Data not analyzed promptly
Data and/or experimental units lost
Measurement system does not measure what you think it does
Confirmation run not done to verify results

Steps to Plan a DOE


Step 1 Define the problem in business terms (RTY, COPQ, C-P)

Make sure that the experiment will have tangible benefits to your business objectives
How will the results be implemented

Step 2 State experimental objectives

Typically find the effects of X on Y

Step 3 Define the output (Y) variables (Responses)

Is the response qualitative or quantitative?


Is the objective to improve centering or variation?
What is the baseline (mean and sigma)?
Is the response in statistical control?
How much change in the response do you want to detect?
Is the measurement system adequate?
Do you need multiple responses?

Step 4 Define the input (X) variables (Factors)

Can be controlled or uncontrolled.


Can be from process map, C&E matrix, FMEA, Multi-vari study results, brainstorming, engineering
knowledge, operator experience, scientific theory

Step 5 Choose the factor levels

Need to be wide enough to see a signal but not too wide to be able to see interactions
Make sure all combinations can be sustained in production
Dependent upon objective of experiment

Step 6 Select experimental design

Screening Designs: To isolate the vital few from the trivial many. Investigates a relatively large
number of factors with a small number of experimental runs.
Characterization Designs: To identify the key leverage variables. Investigates more complex
relationships among a small number of factors (2-6).
Optimization Designs: To define the optimal operating windows for key leverage variables.

Step 7 Plan and allocate resources


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Running an experiment cannot be done alone!


Make sure that you have sufficient assistance from team members and others (if necessary) to:
conduct a Pilot Run, stage materials, set-up process, change process settings, collect samples, ecord
data, input data, analyze data

Step 8 Generate and review proposal

Experimental proposals are essential and must be circulated for acceptance / input. Not all successful
experiments have results that are implemented.
You need support and understanding from the process owners to effectively implement changes from
your findings!
Inputs from others on input level selection can same time, money, and prevent safety issues. Make
sure that the proposal is reviewed by personnel that have experience and tribal knowledge for a
sanity check.

Should Map & RACI


How to get from the current is process to the process we want it to be:
1. Collect data on top IS Xs and disconnects for Multi-Vari analysis. Goal: Validate if Xs and
disconnects are important to include/improve upon in Should process.
2. Identify Should process.
o Remember Xs and disconnects already identified. Include skills needed, key measurements,
decisions, etc.
o Complete cross-functional process map and RACI Matrix on should process.
o See 12 Common Ways to Go from Is to Should.
o Tips:
 Hybridize optimal process using a Pugh Matrix (see DFSS instructions).
 Benchmark other similar processes.

Create: 12 Common Ways to Go from Is to Should


When your team reaches the improve phase and has identified (with data) the Xs to improve, this can be
consulted to determine what items will be needed. Steps 1-5 are less complex to implement and are often
found in traditional process improvements. Steps 6-12 are increasingly more complex and suggest a need
for business process redesign.
1. Eliminate unnecessary process steps
o Examples: Unused data collection or reporting; one decision maker but multiple sign-offs
(approval vs. information); unnecessary routing between departments; intermediaries or agents
o Payoffs: Cycle time reduction; cost reduction
2. Merging and compressing process steps (may use one person instead of two or more)
o Examples: Many routed processes; reconciling two sets of data
o Payoffs: Cycle time improvement; accuracy improvement; more interesting work; cost reduction
3. Make steps parallel instead of sequential
o Examples: Product development; acquisition; reviews and sign-offs; anything with multiple
sequential steps
o Payoffs: Reduced cycle time; faster to market
4. Use a process coordinator
o Examples: Where multiple disciplines need to participate causing long cycle times; acquisitions
and joint ventures; product launches; customer agreements
o Payoffs: Reduced cycle time; ability to meet committed dates; reduced lost opportunities
5. Locate task where it can be done more quickly and easily
o Examples: Centralized tasks that can better be done locally; plant and headquarters people
working on same process; use of NetMeeting and databases
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o

Payoffs: Reduced cycle times; better accuracy; reduced cost; better cross-functional
understanding

6. Relocate work to customers


o Examples: Customers enters order (online) instead of customer service; customers repair their
own equipment by plugging in replaceable module; customers supply us with forecast of what
they will order
o Payoff: Reduced labor cost; reduced cycle time; improved accuracy
7. Relocate work from customers
o Examples: Sell an assembly instead of a part; manage the customers inventory; manage the
product application for the customer; design the product or the product application process for the
customer; provide customers quality inspection
o Payoffs: Business growth; better customer understanding; better planning and information;
strong customer ties
8. Decrease the number of alternatives for simplicity and efficiency
o Examples: Reduce number of suppliers; reduce number of distributors; reduce number of terms
options
o Payoffs: Less inventory; less communication; reduced cost; fewer production changeovers; less
training cost; fewer errors; fewer SKUs
9. Increase the number of alternatives (pay for precision)
o Examples: Serve specialty market niches; design for specific customer applications; the
customer intimacy approach (it works only where it pays)
o Payoffs: Higher margins for specialized service; custom designed products and services to reach
untapped markets; close customer ties and loyalty
10. Make decisions early for efficiency
o Examples: Joint demand planning with customers/distributors; production planning to reduce
changeovers; advance production for seasonal sales; sales coverage planning
o Payoffs: Lower production cost; lower capacity requirements; better labor efficiency
11. Make decisions as late as possible for flexibility
o Examples: Hold material in jumbo or bulk - convert or package to order; ship material to West
Coast - decide Asian destination later
o Payoffs: Reduced inventory; better ability to respond to demand or market changes; reduced cost
12. Eliminate or reduce the impact of boundaries
o Boundary types: Vertical/hierarchical; horizontal/organizational; company; political
o Examples: Cross-functional and multi-level teams; mechanisms for feedback to management;
joint planning with customers/distributors; joint planning with suppliers; cooperative agreements
with customs agencies
o Payoffs: Reduced cost internally and externally; reduced cycle time; increased goal achievement;
improved communication and commitment

Validate Should Map


1. Complete Should FMEA to do risk analysis of improved process.
2. Validate Should process map with all participants (using either structured walkthrough or pilot
study) and update as appropriate.
o Note: May take several revisions to arrive at optimum process.

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Future State Value Stream Map

Kaizen Events

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Brainwriting, Double Reversal, SCAMPER, Random Word

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Mistake Proofing

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B. Implementation, Verification and Testing
Design FMEA (dFMEA)

Structured Walkthrough
1. Provide Should map to project team. All stakeholders and people who actually do the activities
must be involved. This will check and improve the process flow, confirm who is responsible, foster
buy-in, and get input from those who do the work.
2. One person role-plays each swim lane or function.
3. Make the walkthrough as realistic as possible:
o Pick an actual or hypothetical scenario (do multiple scenarios to cover variation).
o Pick a known failure from old process and validate new process is better.
o Use props, pieces of paper, product, toy trucks, etc.
4. Follow Should map and record at each step:
o How long it would take to complete
o How many people are needed
o Key changes from IS map
o Start (trigger) and end points (output)
o Measurements and information required
o Critical skills needed
o Key decisions made
o Disconnects resolved
o Identify needed sub-processes steps
o Document performance
o Update Should map as necessary
o Do a gut check ask people if this will work in real world situations
Repeat as changes are made

Pilot Study
A pilot study is a small scale implementation of a proposed solution. The intent is to verify the solution is
effective before implementing it on a grand scale.
Key issues to consider:
o How communication will take place during and after pilot study.
o Acceptance of risks by participants (potential negative impact).
o Solid measurement system in place to obtain feedback (clear operational definitions and ability to
analyze data identified before begin pilot study)
o Ability to get prompt results.
o Availability of necessary resources to conduct and evaluate pilot study.

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Simulation
Simulation is a systems oriented, model-based analysis technique. It characterizes dynamic system
behavior. Use it when actual experimentation is difficult, expensive, disruptive, and/or time consuming.
Easily evaluate alternatives what-if situations.
Qualifies and quantifies complex systems to identify bottlenecks and constraints.
Excellent communication tool of alternatives and decisions.
Used for any type of process.
Simulation models include:
o Discrete event (time-dependent)
 Tools: ProcessModel, Witness
 Uses: What-if on constraints, operational and transactional processes
o Monte Carlo (non-time dependent)
 Tool: Crystal Ball
 Uses: Risk analysis, new product launch

Improve Phase Checklist

Did you identify and validate critical Xs?

1
2
k ?
Did you verify
Was a process improvement plan identified?
Was a new process baseline created?
Did you get improvement needed?
Do you need to do a verification run or pilot?
Do you need to develop a training plan and conduct training?
What documentation is needed? (Operating procedures, training documentation, test methods, crossfunctional map)
What change acceptance tools are needed? Stakeholder analysis, RACI, WIIFM, etc
What is your measurement system?
What is your communication plan?
Do you have everything you need to sustain improvement?
Did you address all the risks?
Are we ready to implement the improvement?

y = f ( x , x ,..., x )

Lessons Learned

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VI. Control

The Roadmap

Control Phase Purpose:

Establish control plan to ensure the process consistently meets the


customer requirements.
Implement changes to maintain the gains achieved by the project.
Meet customer requirements all the time.
Control the critical inputs (Xs) achieve the outputs (Ys).

Control Phase Goals:

Improve and sustain performance with well executed control plans.


Implement changes to meet project requirements.
Control critical inputs (Xs) to achieve desired outputs (Ys).
Process owner and champion accept and drive changes and utilize control plan.
GPS and PDR are updated.
Project is completed and financials are tracked

A. Control Plan
A control plan is the documents that provide One-stop shopping for all relevant project information.

What should be in a Control Plan?


a. Control plan summary (see ubertool): Excel spreadsheet that summarizes all key inputs, outputs,
control mechanisms, specifications, measurement techniques, responsible parties. Place to document
all relevant inputs (X) and output (Y) information. Summary should include:
o Critical Xs and Ys to monitor
o Responsible people
o Measurement system
o Links to process documentation (training, SOPs, etc)
o Reaction plan
o Audit plan
o Review templates for ideas on components appropriate to your projects
b. Dashboard: One sheet for quick understanding and response regarding process performance,
much like the dashboard gages for the driver in a car. Communicates process performance through
up-to-date control charts for process Y and critical Xs, and any other pertinent process information.
Also used to show ongoing capability.

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c. Systems & Structures:
o

Control by documentation of process roles like RACI matrix (graphical task documentation)

Control by standardization (common criteria used by all process participants)

Mistake proofing methods (eliminate mistakes before they occur)

Training methods and material (more than training includes knowledge transfer):
WHY process needs to be run this way
HOW affects customers if it isnt run this way
WHAT it affects from product or service performance, reliability, safety, and financial
perspectives
WHO can assist with problems
WHAT their responsibility is
HOW they can make improvements to process
Hint: Consider pre-test and post-test to check for effectiveness of training
Training Pitfalls:
o Training plan not updated to match process improvements
o Unqualified people conduct the training
o Pyramid scheme training: Current employee assigned to process trains next
person. Second person trains the third person. Critical process understanding is
lost and processes go out of control, no one knows why. End up conducting
another Six Sigma project to bring the process under control again.
Rewards and recognition

d. Process Documentation:

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Documentation should include: how task is performed; when or how frequently it is


performed; who needs to use and maintain documentation; what information is used to make
decisions; and what needs to be measured and recorded.

Included in the documentation are: Standard Operating Procedures (SOPs), work


instructions, records, measurement tools/methods, customer specifications, process output,
training materials, reaction plans, etc.

A process checklist can be used to assure a sequence of tasks/steps are completed are critical
to process integrity.


Examples: startup and process set point monitoring checklists; order entry checklist;
promotional activity checklist; hiring checklist; shutdown checklist; periodic process
variable checklist.

Not a foolproof method. Possible that checklists can be completed without


performing or observing process (require a sign off to help with this).

Helpful on transactional processes where observations or statistical process control


are difficult to do.

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e. Acceptance Strategies: Some process improvements are going to result in pushback. Good
deployment plans will have considered and used available acceptance strategies. These include:
Force Field Analysis (Enablers/Restrainers), Stakeholder Analysis, WIIFM (Whats in it for me?).
f.

Friendly Audit Plan: Periodic examination of records/process ensure people are using the new
procedures, that they are clear and understandable, and to check for necessary updates. Set up a plan
and schedule a friendly audit with an independent auditor.
o

Observe the procedure


 Are people actually doing what procedure says?
 Are all steps being followed?
 Are people referring to procedure?

Ask questions about the process


 Is each step in procedure clear?
 How could we improve procedure and still get results?
 Are you using your reaction plan?

Conduct indirect observation


 How old are the procedures?
 Are they being updated?
 Are they being used?

Control Plans Common Pitfalls

Not involving affected employees in creating the procedures or not communicating background to
them.
Not testing procedures before global implementation.
Incomplete information in procedures: cant produce correct value of Y measurement controlling Xs
with this plan; incomplete reaction plan, corrective action wont fix problem.
Not having a reaction plan.
Lowering importance of procedures either by not updating them or by management not actively
enforcing them.
Putting procedures on shelf and not implementing them.

Control Plans Hints

Involve your process owner and full team in developing the control plan to ensure agreement.
Be sure to include training as part of your control plan to ensure people know how to use the new
process.
Keep it simple.
Make it visual.
Keep it up-to-date/current.

Steps to Create a Control Plan


1.
2.
3.
4.
5.
6.
7.
8.
9.
10.

Collect all process and project documentation


Prepare initial draft of control plan
Update all SPC charts and capability studies
Prepare dashboards (with instructions of how they are to be prepared)
Identify missing or inadequate components gaps
Prepare reaction plan
Secure sign-offs from safety & environmental, maintenance, operations and process engineering
Verify compliance with company documentation requirements
Train affected personnel
Conduct hand off meeting(s)

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B. Standard Work with layered audits

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C. Mistake Proofing

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D. Data Packages

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Next Steps

Conduct process owner hand-off training


Document final capability
Obtain sign-off from Process Owner and Champion
Put all documentation in GPS and PDR
Discuss replication opportunities discussed
Do final close presentation (see BB before close)

Lessons Learned

Control Phase Completion Checklist

Process that is in control and capable of meeting customer requirements


Control plan with measurement plan
Deployment plan including: plan for systems and structures, change management plan
Shared best practices
Financial gains tracked
Discuss what next steps will be on bridge to entitlement
If you have a question, ASK!

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Appendix 1 Key Terms
Risk Taking action when you didnt need to. The probability of rejecting Ho when it is true (Type I
error) is equal to .
5S Five related terms, beginning with an S sound, describing workplace practices conducive to visual
control and lean production. The five Ss are Sort, Set in Order, Standardize, Shine, Sustain.
Acceptance Strategy A collection of methods and tools utilized to ensure that changes affecting people
are successful.
Accuracy How close is your measurement system to getting the true answer.
Affinity Diagrams (AD) A technique used for gathering large amounts of language data and organizing
it into natural groupings. Typically used to help define processes that are not completely clear.
Alias describes the confounding that occurs in a designed experiment.
Alternative Hypothesis, Ha The statement of change or difference. This statement is considered true if
H0 is rejected.
Analyze A phase in the Six Sigma DMAIC process that focuses on analyzing with data the
relationships between Xs and Ys to identify the possible sources of variability.
Attribute MSA A type of Measurement Systems Analysis used to evaluate the performance of
qualitative assessments.
Risk Not taking action when you should have. is the risk of retaining Ho when it is actually false
(Type II error).
Baseline The level of performance of the process when the project begins. It is used in determining
what kind of impact process improvements have when implemented as well as their financial impact.
How good is a process today.
Best Practice A method or solution identified as one that produces breakthrough results and could be
used on other projects.
Bias Describes the difference from observed value to true value. It can be explained as the difference
between the average of all repeated measurements that might be made on a sample at a given time, and its
true value.
Black Belt (BB) A process improvement project team leader who is trained in the DMAIC
methodology and tools, and who is responsible for project execution.
Boiling the Ocean A project that is scoped too large.
BP Chart An Excel based software package that creates control charts of time ordered data. Its major
advantage is its ability to incorporate trends or seasonality in a data set.
Breakthrough Goal A dramatic, near immediate and significant improvement. In measurement terms,
reaching a breakthrough goal represents an improvement of 60 to 80 percent of the way to entitlement.
Business Critical Y (BCY) Key high-level business goals and/or measures. Used to focus and align Six
Sigma projects to business unit strategic direction. An important part of a Goal Tree.

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Business Process Redesign Also known as business process improvement, business process
reengineering, and business process design. The use of cross-functional IS and Should maps to
understand, and improve or redesign a business process (transactional and operational processes) to
achieve business results.
Calibration Standard Known measure used to calibrate measurement equipment, often traceable to a
national standard.
Capability The total range of inherent variation in a stable process. It is generally determined by
comparing the process variation to the customer specifications and/or by using data from control charts.
Capability Index A calculated value used to compare process variation to a specification. Examples
are Cp, Cpk, Pp, and Ppk. Can also be used to compare processes to each other.
Cause & Effects (C&E) Matrix A simplified QFD (Quality Function Deployment) matrix to
emphasize the importance of understanding customer requirements. It relates the key inputs (Xs) to the
key outputs (Ys) using the Process Map as the primary source. The key outputs are scored for their
importance to the project. The key inputs are scored based on their relationship to the key outputs.
Champion An upper level business leader who facilitates the leadership, implementation, and
deployment of the process quality initiative and breakthrough philosophies. Responsible for removing
roadblocks and assuring adequate resources for a Six Sigma project.
Close A project status where all the DMAIC steps have been completed (including final capability).
Financial tracking is ready to start or is in progress.
Coefficient of Determination R2, the proportion of variation in the response data that is explained by
the regression model. R2 is calculated as 1 minus the ratio of the error sum of squares over the total sum
of squares. It is one of the criteria used to check whether the regression model fits the data well.
Common Cause Variation The inherent variation in a process. It is always part of the process and
cannot be removed except through major process modification.
Confounded A When you have a fractional design, some of the effects are confounded with each other.
That is, you cannot estimate all the effects separately. For example, if Factor A is confounded with the
three-way interaction BCD, then the estimated effect for A also includes any effect due to the BCD
interaction. Effects that are confounded are said to be aliased.
Continuous Variable A variable that can take on many different values. It will always be in numeric
form. Some examples are time, temperature, weight.
Control A phase in the Six Sigma DMAIC process that focuses on maintaining the improved process to
achieve the financial results.
Control Chart A plot of data over time. The plot includes a central line and limits that reflect the
natural variation in the process. If all plotted points are within the control limits, the process is considered
to be within statistical control.
Control Limits Upper and/or lower bounds on a control chart used to detect special causes. They are
based on the variability of the process and generally calculated as +/- 3 sigma. Points outside the limits
are interpreted as a signal that the process has changed in some way.
Control Plan A written description of the system to control parts and processes; a detailed assessment
and guide for maintaining all positive changes made by the project team.
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Controlled Inputs Inputs that can be changed to see the effect on outputs.
Cost of Poor Quality (COPQ) Cost associated with poor quality products or services. Examples:
Product inspection, Sorting, Scrap, Rework, and Field Complaints.
Correlation The strength of the linear relationship between two continuous variables
Cp - Capability index - The ratio of the Voice of the Customer to the Voice of the Process. Indicates
how capable the process is of meeting customer expectations. Relates the process spread (the 6
variation) to the specification spread. In other words, Cp relates how the process is performing to how it
should be performing. Cp does not consider the location of the process mean relative to the specification
interval. Cp tells you what capability your process could achieve if centered.
Cpk - Capability index - Like the Cp, indicates how capable the process is of meeting customer
expectations. Will be lower than the Cp if the process is not centered between the specification limits.
Minimum of CpU and CpL. Cpk incorporates information about both the process spread and the process
mean, so it is a measure of how the process is actually performing. Note that Cpk considers the location of
the process mean, while Cp does not. If Cp and Cpk are approximately equal, then the process is centered
between the specification limits. If Cp is greater than Cpk, then the process is not centered.
Cpm - Capability index - Provided only when you specify a target. Cpm examines the process spread and
the shift of the process mean from the target and compares them to the specification spread. Cpm does not
use the within-subgroup standard deviation.
CpL - Capability index - Relates the process spread (the 3 variation) to a single-sided specification
spread (-LSL). CpL considers both process mean and process spread. Use CpL when you have a singlesided lower specification limit to compare to.
CpU - Capability index - Relates the process spread (the 3 variation) to a single-sided specification
spread (USL-). CpU considers both process mean and process spread. Use CpU when you have a singlesided upper specification limit to compare to.
Corporate Y High-level goal at the top of the goal tree. 3M corporate Ys are Growth, Cost, and Cash.
All Six Sigma projects relate to one or more of the corporate Ys.
Counterbalance Y A metric used as a checking metric. Improvements in the Project Y should not have
a negative impact on the counterbalance Y.
Critical to Quality (CTQ) Elements of a process that significantly affect the output of that process.
Identifying these elements is vital to figuring out how to make the improvements that can dramatically
reduce costs and enhance quality.
Critical Inputs Inputs that have been statistically shown to have a major impact on the variability of
outputs.
Critical to Quality (CTQ) Key measurable characteristics of a product or process whose performance
standards or specification limits must be met in order to satisfy the customer. They align improvement or
design efforts with customer requirements.
Critical X Those few process input variables that a Six Sigma project focuses on. By adjusting the
critical Xs, the process performance can realize a major improvement.
Defect Any characteristic that deviates outside of specification limits or customer requirements.
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Defects per Million Opportunities (DPMO) A measure of attribute process capability that can be used
to compare processes with different levels of complexity. Calculated by dividing the DPU by the number
of opportunities for a defect to occur.
Defects per Unit (DPU) A measure of attribute process capability that divides the total number of
defects by the number of units.
Define Define phase of Six Sigma process (DMAIC) defines the problem/opportunity, process, and
customer requirements. The Define phase includes setting project goals and boundaries based on
knowledge of the organizations business goals, customer needs and the process that needs to be
improved to reach a higher Six Sigma level.
Design for Six Sigma (DFSS) The application of Six Sigma tools to product development and Process
Design efforts with the goal of designing in Six Sigma performance capability.
Design (Layout) Complete specification of experimental conditions including blocking, randomization,
replications, repetitions, and assignment of factor-level combinations to experimental units.
Design FMEA An analytical technique used by a design responsible engineer/team as a means to
assure, to the extent possible, that potential failure modes and their associated causes/mechanisms have
been considered and addressed.
Design for Manufacturability (DFM) A simultaneous engineering process designed to optimize the
relationship between design function, manufacturability, and ease of assembly.
Design of Experiments (DOE) An efficient method of experimentation, which identifies, with
minimum testing, factors (key process input variables) and their optimum settings that affect the mean
and variation.
Design Validation Testing to ensure that product conforms to defined user needs and/or requirements.
Design validation follows successful design verification and is normally performed on the final product
under defined operating conditions. Multiple validations may be performed.
Design Verification Testing to ensure that all design outputs meet design input requirements.
Destructive Test When the test method used destroys the sample.
Discrete Variable A variable that can only take a finite number of values. It can be a verbal
description or attributes. E.g. Defect category, Machine type, number of safety incidents.
DMAIC Acronym for Define, Measure, Analyze, Improve, Control. The 5 phases of the Six Sigma
methodology used to make process improvements.
Effect The change in the average response over two levels of a factor or between experimental
conditions.
Efficiency (Lean) A measure in units of time of value-added activities compared to all activities; valueadded plus non-value-added activities.
Empirical Rules Approximate guidelines for the amount of data that will fall within certain values of
the mean. 60-75% will fall within 1 standard deviation of the mean, 90-98% within 2 standard deviations,
and 99-100% within 3 standard deviations.
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Entitlement The full potential benefit we can achieve from a process. Six Sigma projects consider
entitlement as whats the best we can get from a process to help them in setting process improvement
goals. Best state to date of a process. Generally comes from observed results, benchmarking, or
theoretical calculations.
Entitlement Quality Achieving 100% of customer critical-to-quality (CTQ) requirements with zero
waste/loss at 3M. The highest quality expected by our customers.
Entitlement thinking thinking of setting process performance goals based on entitlement.
EVOP Evolutionary Operations - continuous on-line process improvement by using DOEs.
Experimental Region (Factor Space) All possible factor-level combinations for which
experimentation is possible.
Experimental Run A single combination of factor levels that yields one or more observations of the
output variable.
Factorial Designed Experiment In a full factorial experiment, responses are measured at all
combinations of the experimental factor levels. Each combination of factor levels represents the
conditions at which a response measure will be taken.
Factors A factor is one of the controlled or uncontrolled variables being studied in the experiment
Factor Levels The levels of a factor are the values being examined in the experiment.
Feasibility A determination that a process, design, procedure, or plan can be successfully accomplished
in the required time frame.
First House of Quality a matrix that contains the customers requirements, the product requirements
(how the team measures that the customers requirements have been met), prioritization of customer
requirements, correlation of product requirements (existing trade-offs or synergies), competitive analysis
information (customers perceptions as well as technical assessment using test methods).
First Pass Yield (FPY) The percentage of products or services that are successfully completed on the
first attempt without requiring remedial action or rework.
Final Capability The performance level of the improved process. Data is required to show that the
process has reached this level in order to close a project.
Fishbone Diagram Sometimes called a Cause and Effects Diagram or Ishikawa Diagram. A graphical
method of representing the relationships between effects and their causes. Causes are generally grouped
into categories such as Machine, Method, or People.
Flow - A manufacturing methodology that pulls items from suppliers through a synchronized
manufacturing process to the end product. The principle goal is faster response to customer demand.
FMEA - Failure Modes and Effects Analysis A tool for linking failure modes to cause & effect so
that process controls to reduce the occurrence of producing unacceptable product can be implemented or
detection methods can be improved. Prioritizes improvement.

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Fractional Factorial Designed Experiment Fractional factorial designs are useful in factor screening
as they reduce the number of runs to a manageable size. The runs that are performed are a selected subset
or fraction of the full factorial design. When you do not run all factor level combinations, some of the
effects will be confounded. Confounded effects cannot be estimated separately and are said to be aliased.
Gage Bias (also known as Accuracy) The difference between the true or reference value and the
observed average of multiple measurements of the identical characteristic on the same part.
Gage R&R A type of Measurement Systems Analysis used to evaluate test methods. It is generally
used with continuous data and can be used to quantify the total variability as well as the Repeatability and
Reproducibility of a measurement system.
Gage Repeatability The variation in measurements obtained with one measurement instrument when
used several times by one appraiser while measuring the identical characteristic on the same part.
Gage Reproducibility The variation in the average of the measurements made by different appraisers
using the same measuring instrument when measuring the identical characteristic on the same part.
Gap The difference between entitlement and baseline.
Gemba The part of the process where value is added to the product or service.
Goal The target amount of improvement for a process.
Goal Tree Diagram showing linkage of Corporate Critical Ys, Business Critical Ys, and Projects.
Green Belt (GB) A person who is trained in the DMAIC methodology and tools, and who may lead
project teams or assist on a phase of a larger project.
Histogram A graphical way of summarizing data by plotting possible values on one axis and the
observed frequencies for those values on the other axis. It helps one visualize the central tendency and
dispersion of the data.
Hopper A collection of identified Six Sigma projects that have not yet started.
Hypothesis Testing A way of analyzing data, particularly from DOEs, that tries to determine if results
observed are statistically significant; in particular, are the results possibly due to random variation?
I & MR Individuals and Moving Range chart; a type of variables control chart based on individual
measurements.
Interaction The combined effect of two factors that is over and above the singular effect of each factor.
Internal Reference Material (IRM) a sample that can be measured repeatedly to calibrate test
method or insure no change in test method.
Interrelationship Digraph (ID) A technique used to map out logical or sequential links among ideas,
issues, or problems. Can be used to determine key drivers and outcomes of a process.
Improve A phase in the Six Sigma process that focuses on quantifying and proving the relationship
between the Xs and the Y and then changing the Xs to improve the Y.

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IS Map A cross-functional process map completed during the Measure phase. A view of the current or
existing process that shows who does the work and in what relative timeframe.
Kaizen A Japanese term for incremental improvement. A team approach to quickly tear down and
rebuild a process layout to function more efficiently.
Kanban Techniques named after the Japanese word for card or communication. Kanbans are used to
signal the need for an activity to occur.
Key Process Input Variable (KPIV) The vital few process input variables that have the greatest effect
on the output variable(s) of interest. They are called Xs, (normally 2 to 6).
Key Process Output Variable (KPOV) The output variable(s) of interest. They are called the Ys,
(usually 1). May be process performance measures or product characteristics.
Lead Time using Littles Law, calculate the process lead time as follows:
Lead Time (days) = Inventory (in units) / Customer Demand Rate (in units per day)
Lean A business operating philosophy. Lean has a set of proven tools and solutions which accelerates
speed and reduces the cost from all business processes by removing waste. Lean focuses on providing
value to the customer. All activity is aligned to provide maximum value to the customer.
Lower Level House of Quality a matrix that contains linkage of the product requirements (how the
team measures that the customers requirements have been met), process variables and raw material
properties.
Levels Refers to the number of settings of a particular factor
Main Effect The Average change from one level to another for a single Factor
Master Black Belt (MBB) A person who is trained in DMAIC methodology and project definition /
implementation. Master Black Belts play a key role in coaching Black Belts.
Mean, Greek letter denoting the arithmetic average of a set of values.
Measure A phase in the Six Sigma process that focuses on defining the current process. In addition, it
establishes initial performance levels and determines our ability to measure the process.
Measurement System The complete process used to obtain measurements. It consists of the collection
of operations, procedures, gages and other equipment, software, and personnel used to assign a number or
value to the characteristic being measured.
Measurement System Analysis (MSA) Use of statistical methods to evaluate the performance of a
measurement system. The three major types are Data audits, Attribute MSA, and Gage R&R.
Measurement Test values obtained by performing the complete test procedure including sample
preparation as well as reading.
Measurement System The complete process used to obtain measurements. It consists of the collection
of operations, procedures, gages and other equipment, software, and personnel used to assign a number or
value to the characteristic being measured.
Median The center number of a data set after it has been rank ordered. Equivalent to the 50th percentile.
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Minimum Difference () The minimum difference () from the hypothesized value we want to detect
with power 1-
MINITAB
The main statistical software package used by the Black Belts and Green Belts.
Muda A Japanese term for waste. Muda is anything that interrupts the flow of products and services
through the value stream and out to the customer.
Multi-Vari Chart A graphical way of depicting variation within a single part, machine or process, or
between parts (produced at the same time or over time). Allows the study of process inputs and outputs
in a passive mode (natural day-to-day process).
Multi-Vari Study A graphical and statistical method to depict variation in the KPOV as it relates to
changes in multiple KPIVs. Variables include noise variables potentially causing variability in the
process. The study of process inputs and outputs is completed in a passive data collection mode.
Noise The inherent variability in the system.
Normal Distribution A continuous, symmetrical, bell shaped frequency distribution for variable data.
Null Hypothesis, Ho The statement of no change or difference. This statement is assumed true until
sufficient evidence is presented to reject it.
Operational Definition The definition created by the team that relates to a term used or process
practiced within the team framework.
Outlier A data point that is markedly different from the others. Many times it is the result of a special
cause or exception in the process.
p-value Probability that the observed results could occur when H0 is true.
Population The universe of all possible numbers that can be considered the same in some sense.
Precision The standard deviations of repeated measurements at identical conditions
Probability - The chance of an event happening or a condition occurring in a random trial.
Process The combination of people, equipment, materials, methods, and environment that produce a
given product or service. It is the particular way of doing something.
Process Map A step-by-step pictorial sequence of a process showing process inputs, process outputs,
cycle time rework operations, and inspection points.
Process Owner Person responsible to follow and utilize the control plan to ensure that the process
maintains its improved state.
Process and Product Understanding The act of creating the body of knowledge about the process and
product that will be used to control the process and material variables to target with minimal product
variation resulting in highest value to the customer at a competitive price.

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Process Spread The extent to which the distribution of individual values of the process characteristic
(input or output variable) vary; often shown as the process average plus and minus some number of
standard deviations. Other related measures of spread include the range or quartiles.
Project Charter A document containing the key information about a Six Sigma project. Includes the
business justification, process to be improved, team members, project description and metrics, and
financial information.
Project Scope The specific process(es) or part of the process that the project is focusing on. It is
essentially the project boundaries.
Project Y A measurable, key process output used to determine improvement of the process. The aim of
the project is to improve the Project Y.
Pull A method of production control in which downstream activities signal their needs to upstream
activities. Pull production strives to eliminate overproduction and is one of the three major components of
a complete just-in-time production system, along with takt time and continuous flow.
QFD Quality Function Deployment; a process that links customer requirements to product/process
characteristics to manufacturing procedures so that our products satisfy our customers and are produced
with processes that have high Cpk ratios.
Qualitative Information Expressed in verbal terms and descriptions. Information is gathered by
counting frequency of occurrences. Also described as discrete.
Quantitative Information Expressed in numerical form. Numeric information can be discrete or
continuous.

R, R Range and average range. Used in SPC to determine state of control and process limits.
R2 Coefficient of Determination The proportion of variability explained by a regression model.
RACI matrix Responsible, Accountable, Consultant, Informed A standard X vs. Y matrix that relates
specific tasks to individuals and/or functional roles. Can help to identify gaps or conflicts about who is
involved in a process and what they do.
Randomization Experimental runs are performed in a randomized order to eliminate the effect of
variables not being studied.
Readings Test values obtained by presenting a prepared sample to the test equipment more than once
without redoing sample preparation in between.
Regression analysis A statistical technique used to investigate and model the relationship between
variables.
Response Surface Designed Experiment Response surface methods are used to examine the
relationship between one or more response variables and a set of quantitative experimental variables or
factors. These methods are often employed after you have identified a vital few controllable factors and
you want to find the factor settings that optimize the response. Designs of this type are usually chosen
when you suspect curvature in the response surface.

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Resolution The smallest unit of measure that you have. It can also be defined as the number of decimal
places that can be measured by the system. Increments of measure should be about one-tenth of the width
of the product specification or process variation.
Repeatability The inherent variability of the measurement system. When repeated measurements at
identical conditions (same operator, same unit, same environmental conditions, short-term) are taken the
standard deviation is the precision. Repeatability is the common cause variability in a measurement
system. Typically identifies an equipment issue. Example: Same person doing the same activity gets the
same results.
Repetition Where many samples are measured from each experimental condition.
Replication Number of times each set of experimental conditions is included in the experiment
Reproducibility Repeated measurements by the different variables are consistent under same
conditions. The difference in the average measurements made by different people using the same
instrument, measuring the identical characteristic holding conditions as close as possible. For example,
different people using same instrument, measuring identical characteristic. Typically identifies an issue
with operators. Example: Two different people doing the same activity get the same results.
Risk Priority Number (RPN) The numerical output of the FMEA that is calculated based on the
severity, occurrence, and detection ability of the failure modes. The higher the RPN, the more critical the
failure mode.
Rolled Throughput Yield (RTY) The multiplication of all individual first pass yields of each step of
the entire process.
(i.e., Step 1 Yield = 75%, Step 2 Yield = 90%, Step 3 Yield = 80%, RTY = 0.75 x 0.90 x 0.80 = 54%)
Run-to-Target The operating philosophy of running ones process (product, service or transaction) to
target, as opposed to specification limits, aligning the voice of the process with the voice of the customer
with minimal variation.
Sample The particular collection from a population that we work with rather than the entire population.
Secondary Y A metric related to the same process as the Project Y. It should improve as the Project Y
improves but it is not the major focus of the project. Not all projects require a Secondary Y.
Should Map A cross-functional process map done in the Improve Phase. A view of the future or
improved process that shows who does the work and in what relative timeframe. An IS Map is required
before a Should Map
Short Term Capability Determines variation in the process assesses ability to meet specifications and
permits short, intermediate and long-term goal setting. Requires about 30-50 observations.
Sigma, Greek letter denoting the measure of the spread of the process (width of the distribution).
SIPOC Supplier, Input, Process, Output, Customer An alternative form of representing the process to
include the impact of the customers and suppliers.
Six Sigma Process mean is 6 process standard deviations from nearest specification limit. The term
was coined by Motorola to express process capability in parts per million. A Six Sigma process generates
a defect probability of 3.4 parts per million (PPM).

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SMED (Single Minute Exchange of Dies) a systematic method for analyzing and reducing changeover
time, developed by Shigeo Shingo. Also called Rapid Changeover methodology.
Special Cause Variation Variation caused by forces acting from outside the usual/normal process.
Specification The engineering requirement or customer requirement for judging acceptability of a
particular characteristic. The Voice of the customer should be used to determine the specification.
Stability a measure of how accurately the system performs over time. Control charts are used to
monitor stability.
Stabilize The stage in Lean where continuous workflow is established.
Stakeholder Analysis A technique to identify key stakeholders in a process, their current and needed
level of support for the project, and strategies for gaining the level of support needed for the project to
succeed.
Standard Deviation A measure of the spread of the process (width of the distribution).
Standardized Residuals Residual minus mean divided by standard deviation
Statistical Control The condition describing a process from which all special causes of variation have
been eliminated and only common/random causes remain. Applies to both the mean (location) and
standard deviation (spread). Control charts are used to determine whether or not a process is in control.
Statistical Thinking A philosophy of learning and action based on the following fundamental
principles:
All work occurs in a system of interconnected processes,
Variation exists in all processes, and
Understanding and reducing variation are keys to success.
Supermarket a closely monitored amount of inventory located between two processes incapable of
synchronous flow. Supermarket size is a function of customer demand, not forecast and should always be
reviewed for positive improvement.
Super Y Collection of related Six Sigma projects that provide opportunities to share metrics, best
practices, learnings, and solutions. Examples include Inventory, Accounts Receivable, Manufacturing,
Supplier, Customer, Commercialization, and Sales & Marketing.
Total Productive Maintenance (TPM) A method for increasing equipment availability by establishing
roles and responsibilities for all plant personnel.
Raw Material
In-process material or semi-finished goods
Finished goods
True Value If it could be know, the actual value of the item being studied, void of all sources of
variation.
Tolerance The range of the specification limits. Equal to the USL LSL.
UCL, LCL Upper Control Limit, Lower Control Limit; limits determined by the process beyond which
we rarely expect to see data if the process is operated on target and in control. Usually these are set 3s
about the process target. Applies in theory only to normally distributed data.

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Uncontrolled Inputs Inputs that impact the outputs but are difficult or impossible to control (may also
be controllable, just not under control currently).
USL, LSL Upper Specification Limit, Lower Specification Limit; limits set by the downstream
customer, internal or external, beyond which we should not operate the process.
Value and Time Analysis A tool used to determine the amount of time spent in a process on value
added vs. non-value added and work time vs. wait time.
Value Analysis Map A type of process map that identifies the value added and non-value added steps
of the process.
Value-added - An activity that transforms or shapes raw material or information to meet customer
requirements. Specifically, the customer must recognize the value (willing to pay for it); the product must
physically change during the process; and the activity must be done right the first time.
Value Stream Map (VSM) A mapping tool to determine the value added to a product as it goes
through a manufacturing process. The Value Stream Map is a diagram of every step involved in the
material and information flows needed to bring a product from order to delivery. The first step is to draw
a visual representation of every step in a process including key data, such as the customer demand rate,
quality, and machine reliability. Next, draw an improved future-state map showing how the product or
service could flow if the steps that add no value are eliminated. Finally, create and implement a plan for
achieving the future state.
Variables Control Chart A process control chart for a characteristic or parameter that has continuous
values rather than discrete values such as counts.
Variance A measure of spread of the process. It is the standard deviation squared.
Variation Difference between individual measurements. Differences are attributed to common and/or
special causes.
Variation: Common Cause Variability introduced to a process that may not be controllable by the
operator and may require outside assistance to reduce in size.
Variation: Special Cause Variability introduced to a process that should be controllable by the
operator of the process.
Visual Controls A method used to indicate situation status or presence. It displays what is expected,
what actually is occurring, and can be used to determine if improvement opportunities are needed.
Voice of the Customer (VOC) Customer feedback, both positive and negative, including the likes,
dislikes, problems, and suggestions.
Voice of the Process (VOP) Statistical data that is feedback to the people in the process to make
decisions about the process stability and/or capability as a tool for continual improvement.
Waste - Any defective material that cannot be used as intended or sold to a customer.

X , X - Sample subgroup mean and grand average of sample means.

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Appendix 2 One Minute Project Checklist
At any point in the project, do you understand

The problems you are trying to solve?

Objectives and their measurement or scope?

The tasks already completed and those necessary to successfully finish the project?

Those affected by the project and those who can affect the project?

The accuracy of the estimates and the assumptions which drive them?

The resources, their availability, skills, styles and strengths and how we are planning to apply them?

The baseline schedule that the project can be completed within and how that compares to the
deadline? (See the project tracking template in the ubertool.)

Your project status compared to the schedule, and why?

The expectations for the project, and the actions we are taking to maintain communications?

What will it take to end the project successfully?

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Appendix 3 Data Analysis Flow Chart

Data Analaysis Flow Chart


Is Y
Continuous or
Discrete?

Discrete

Is X Discrete or
Continuous?

Discrete X

Continuous X

Continuous

Is X
Continuous or
Discrete?

Discrete

How many
Levels of the
X?

2-Levels of X

Is the data
normally
distributed?

Normal

Non-normal

3 or more
Levels of X
Continuous

Is the data
normally
distributed?

Normal

Non-normal

Chi-Square

Logistic
Regression

2 sample t-test

Mann-Whitney

ANOVA

Kruskall-Wallis

Regression

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Appendix 4 Six Sigma Project Types
Six Sigma Portfolio Project Types
Project Type

Characteristics

$Opportunity

Timing

Resources

1 - Classic Six Sigma BB


for Operations (Manufacturing)

Gap between current and desired


performance. Cause of problem not clearly
understood. Solution unknown. Strong
business case.
Business process rather than manufacturing
process. May have attributes data, or be nondata rich. May have extended pre-close period
to verify Capability/Savings.
Typically, smaller gap/ lesser $Opportunity.
Fewer Resources required. Less extensive use
of Six Sigma tools.

$500K + Real OI
Savings, may have
Cash or Growth
Savings as well
$5MM + Real Cash
Savings, may have OI
or Growth Savings as
well
$100K + OI, Growth
or Cash Savings

4-6 mo

5-6 Team
Members, Full
time Leader

4-6 mo

5-6 Team
Members, Full
time Leader

2-12 mo

2-3 Team
Members, Part
time Leader

Consequences of not doing project are


immense. May not utilize full Six Sigma toolset
due to time constraint.

$MMs, Possibly too


large and difficult to
quantify

Immediate
1-4 mo

5-6 Team
Members, Full
time Leader

Begin with Customer Requirements, QFD,


Value Analysis. Improved state of product
thrown over the wall. Reduced time to Sales.

NPV Calculation of
Growth Savings, may
be difficult to quantify

6-12 mo

Larger Teams

6 Commercialization Projects
(between DFSS & Classic Six
Sigma)

Currently in Product Development process


(Phase 1-3). Emphasis on MSA and Product
Development FMEA. Existing team members.

NPV Calculation of
Growth Savings, may
be difficult to quantify

4-12 mo

Larger Team
(existing)

7 - Re-Engineering (Process
Development), Recovery
Processing, or Product
Transfers
8 Sourcing, Just Do It
Projects

Process understanding / Process validation.


Cause of problem or solution may be known.
Key tools MSA, Capability, FMEA.

$50K + OI Savings,
may be difficult to
quantify

6-12 mo

3-5 Team
Members, Part
time Leader

Cause of problem understood or solution


known. Statistical analysis for qualification.
Control Plan may be only key tool.

$50K + OI Savings,
may be difficult to
quantify

1-3 mo

2-3 Team
Members, Part
time Leader

The good side of Boiling the Ocean where you


can see the ocean and spot the islands of
opportunities (Candidates to Hopper).

None in the short


term

1-3 mo

1 Part time
Leader

2 - Six Sigma BB for


Transactional (Service),
Improvement of a Business
Process
3 - Six Sigma GB (Operations
or Transactional), Replication
Projects
4 - Business or Regulatory
Projects which require an
Immediate Response, Must Do
It Projects
5 - DFSS (Product
Development) Growth Projects

9 - Scoping Projects,
High-Level Processes
(Manufacturing or Service)

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Appendix 5 Kickoff Meeting Checklist Pre-work and During
Meeting
Before Kickoff Meeting
1. Have project charter completed in GPS and approved by MBB.
2. Prepare financial worksheet (even if data is not yet available, the calculation method should be
prepared for discussion).
3. Reserve meeting room and send meeting invitation to project team members (including Champion,
Process Owner, and BB [if possible]) through Lotus Notes.
4. Prepare baseline data (initial capability), if available, to help communicate in kickoff meeting.
5. If need to drive project cycle time shorter, prepare high level process map and detail process steps (do
not start mapping Ys and Xs without project team involvement.
6. Search for relevant projects that you can replicate. Bring information to meeting.

During Kickoff Meeting


1. Introduce team members
2. Ask champion to discuss purpose of project and why its important (include link to Business Critical
Y).
3. Go through project charter with team and make sure everyone understands the following:
a. Project number and name
b. Process defect and how to measure it
c. Process defects exists in and where starts/stops
d. Project Y clearly state Project Y as to improve some measurement from A to B in some
time frame
e. Project scope (in-scope and out-of-scope)
f. Agreement on type of project (is this a process redesign project?)
g. Measurement metrics (primary Y, secondary Y, counterbalance Y, financial benefit)
4. Propose and agree to project time frame (set preliminary milestones).
5. Identify what tools expect to use to help complete the project.
6. Goal, Roles and Responsibilities of each team member in this project (RACI of all team members and
all planned tools is helpful).
7. Discuss data for measurement systems analysis and initial capability
a. Data sources
b. Data availability
c. How data can be validated
8. Discuss any projects that will be replicated are there others?
9. Start working on Process Map. If time allows and project isnt complicated, also do C&E.
10. Fix next 2-3 meeting dates.

After Kickoff Meeting


1. Activate project in GPS formally by doing the following:
a. Change status to Active
b. Change progress to Green
c. Enter actual start date as the kickoff meeting date
d. Select phase name to Define (if not yet done).
2. Post all project documents in PDR and send link to team members.
3. Send meeting notices for next 2-3 meetings.
4. Project Defect can we specifically say what is causing the pain?

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Appendix 6 Analysis Roadmap Full and Fractional Factorial
DOEs
The same roadmap can be used for both Fractional or Full Factorial DOEs. If doing a Full Factorial
DOE, do not do the fractionation.
Create a Factorial Design

 Determine number of levels


 Determine number of factors
 Determine size of fraction
What will be the design resolution?
Consider the aliasing structure (Confounding of factors)
 Centerpoints? Replicates? Repetitions? Blocks?
 Randomize runs or Standard order?
 Run Experiment & Collect Data

 Did you create the original design matrix?


NO: Define Factorial Design, then begin analysis
YES: Begin analysis
Confirm all terms are in the analysis
 Create graphs: Normal and Pareto
Are there any factors or interactions that are significant?
NO: Re-evaluate level setting of factors (Bold vs. Narrow)
YES: Look at significant factors using Factorial Plots.
Evaluate the aliasing structure.
What is the most likely driver of the effect?
 Is there a significant interaction(s)?
NO: Proceed to evaluate significant Main Factors
YES: Run an Interaction Plot.
Evaluate relationship between factors.
What factors are most likely to be involved in interactions?
Decide the best settings for each factor as it relates to the Response (Best
Operating Condition)

 Is there a significant Main Factor(s)?


NO: Proceed to Reducing the Model
YES: Run a Main Effects Plot.
Consider any aliasing with interactions
Evaluate the slope of the line.
Determine the best level settings for each factor as it relates
to the Response (Best Operating Condition)

 Reduce Model - Analyze Factorial Design


Remove insignificant terms from the original model
Turn off graphs (Normal and Pareto)
Store Standardized Residuals and Fits
 Develop Y=f(x) model
In Session window, Use coefficient values to create model
Determine R2
Run Balanced ANOVA
Enter the final model
Review ANOVA table in Session window
Cut and Paste SS column in to Minitab Worksheet
Calculate SSfactor/SStotal to get %variation related to factor, interactions, and error term
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Evaluate Residuals
Run Residual Plots
Are the residuals normally distributed? (Normal Plot / Histogram)
Are the residuals stable? (Individuals Chart)
Is the data in the Residual vs. Fits Plot randomly distributed?
NO: Evaluate possible factors missing from the model
Evaluate transformation opportunities
YES: Model is good representation of Y=f(x)

 Was the desired Response value/range found?


YES: Set factors of study to levels determined in DOE, Set and Run process.
Evaluate Response using control chart methods.

NO: Determine if another DOE is necessary


How many factors?
Same factors, new levels?
Same factors with additional factors?
All new factors?
Full or Fractional?
Block? Repeats? Replicates?

Typical DOE Setup/Analyze


The following roadmap can be used to setup/analyze a DOE. Get assistance from your Black Belt or
coach before setting up a DOE!

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DOE Analysis: Factor Significance

Effect of each input (X) represents a potential signal in the data.


Given an estimate of noise in system, a signal/noise (S/N) ratio may be formed for each Effect to
judge whether or not the input (X) is significant. Does effect stand out from noise?
Minitab lists a p-value for each input (X) and interaction. Inputs (Xs) with a p-value < 0.05 indicate
a significant S/N ratio (a significant input (X) that results in a change in Y)

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DOE Analysis: Factorial Plots

Effect plots graphically depict how each input (X) affects the response.
Main Effect Plot Plots averages at each level of an input (X). A straight line connects the two
averages.
Interaction Plot Plots averages at each level of an input (X) with the level of a second input held
constant.
Cube Plot Plots cube (or square) showing averages of all points at the given combination of input
(X) levels.

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DOE Analysis: Checking Model Validity with Centerpoints

The DOE model assumes a linear response curve. If the output (Y) increases along a curve versus the
input (X), a mathematical model is only valid for the endpoints. To get a predictive model a 2nd order
design needs to be run. If this possibility was considered in advance the star points can be added
and the original design also utilized. (See your Black Belt or coach for assistance.)
The null hypothesis (Ho) is the line does not have a curve (it is straight).

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DOE Analysis: Equations

The DOE model provides coefficients that can be used to write a predictive equation for within the
experimental range. Warning: If Center Point is significant, there is non-linearity and this equation
can not be used to predict.

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Map the Transition

Business Process Redesign


Pilot
Simulation
Experiment
Implement the Change and
Adjust

Identify potential resistance


* Force Field Analysis
* Resistance dialog

Quantify & resolve


resistance
* Force Field Analysis
* Resistance dialog

Plan Systems & Structures


transition
* Transition Map
* More of / Less of
* Systems & Structures Wkst

Identify Stakeholders & Develop


influence strategy

Identify necessary new


behaviors

Review stakeholders &


finalize influence strategy

* Stakeholders Analysis
* WIIFM
* Influence Strategy
* RACI Matrix

* Transition Map
* More of / Less of
* RACI Matrix

* Stakeholders Analysis
* WIIFM
* Influence Strategy
* Polarity Map

Establish business case

Assess team

Assess team

* Force Field Analysis


* SWOT
* Leadership Dialog

* GRPI
* Team Performance Model
* Team Power

* GRPI
* Team Performance Model
* Transition Curve
* Team Power

Align team with charter


* In/Out of Frame
* 15 Words
* Elevator Speech

Acceptance
of Change

Engagement & Acceptance


Planning
Shared Vision
Engaged Stakeholders

FMEA
Multi-Vari

Improve

Identify key participants,


obtain engagement / form
team
* Stakeholders Analysis
* WIIFM
* RACI Matrix

Create communication plan


* Communication Plan

Assign roles &


responsibilities
* RACI Matrix

Control
Control Plan
Training
Final Capability

Sustain the Gain

Put controls around


Systems & Structures
* RACI Matrix
* Training

Celebrate!

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Chartering Process

Process Map
Cause & Effects Matrix
Measurement Systems Analysis
Initial Capability

Analyze

Appendix 7 Change Acceptance Tools

Project Charter

Quality of
Solution

Measure

Page 165

A wide variety of tools exist to help address change and team issues within a project. The following are a
sampling of these tools. See your Black Belt or Coach for assistance.

Define

Link DMAIC and Change Acceptance Tools

QxA=E
Quality of Solution x Acceptance of Change = Effectiveness of Project

The following template can be found in Link DMAIC and Change Acceptance Tool v1-1.xls in the
Information and Tools Database. The file contains templates for each of the tools listed.

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15 Words

What:
o 15 word statement of project definition/scope
Why:
o Craft positioning statement / build process definition
o Good group process tool:
 Obtain opinions of all team members
 Construct or reach team consensus
o Helpful in writing elevator speech
When:
o Define phase while writing project charter, elevator speech is based on this tool
o Mid-stream bring people back to same page/definition/scope of project
Need:
o Large sheets of paper on wall
o Markers for all participants
How:
1. Ask each team member (or pairs of team members) to write in 15 words or less the project
definition and scope on a large sheet of paper
2. Post all responses and check for agreement
3. Double check all fuzzy words by circling them and asking
 What does it look like?
 How will we know it when we have it?
4. Identify key words or phrases team feels best about
5. Finalize on project definition and scope on one sheet with team agreement

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Communication Plan

What:
o Plan for communicating changes to key stakeholders
Why:
o Trigger dialog with champion and process owner on who to communicate to, what method, what
media, whos doing it, etc
o Use within team for communicating to team members and coalition (Process Owner, Champion,
Black Belt, etc)
When:
o Define phase
 After identified key stakeholders (Stakeholders Analysis) and what information they need
(WIIFM)
 Within team to identify types of communication needed within team players (Process
Owner, Champion, etc)
o Improve phase before implement improvements
o Every project should have one
Need:
o Large easel sheet or computer with communication template
How:
1. Identify:
 What needs to be communicated (message)
When change will occur
How change will impact them
What information is needed from them
What you need them to do
 Why should it be communicated (purpose)
Create need for change
Ensure understanding of process improvement
 Who needs to be communicated to
Process owner
Champion
Team members
Key influencers
People affected by change
 Who needs to be communicated from
Key influencer
Project leader
Team member
Champion
Process owner
 How should it be communicated (Media)
Method of communication (e.g. eMail, posters, etc)
Determine who should do communication (team member, champion, etc)
 When should the communication occur
Appropriate timing within project
2. Assign responsibilities for communication plan tasks (RACI Matrix is helpful)
3. Follow communication plan
4. Update plan throughout project

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Elevator Speech

What:
o Clearly and simply state need for change and future state
o Pitch to share with key stakeholders
Why:
o Good group process tool:
 All contribute
 All in agreement with clear process understanding
 Team consensus
o Good sales tool - management understands it!
o Good when publishing project
When:
o Define phase when writing project charter
o First team meeting and/or first meeting with process owner/champion
o Use 15 words exercise to help develop elevator speech
Need:
o PC or large easel sheets on wall
How:
1. Together team reviews project scope, process definition, need for change, etc
2. Individual team members make notes as they form own version of speech. Well crafted elevator
speech ought to generally, follow this simple four part formula:
a. "Here's what our project is about.............",
b. "Here's why it's important to do............",
c. "Here's what success will look like.............", and
d. "Here's what we need from you...........
3. After quiet "rehearsal time", team members pair up and deliver their speech to their partner and
receive feedback on what works / doesnt work
4. Together team identifies a speech they all like best and/or begins to put together parts from a
variety of individual speeches to create a new speech all feel comfortable with
Tips:
o Important for each project team member to practice final speech before delivering it to any key
constituents
o Practice one-on-one with another team member
o Encourage team members to practice on friends if subject is complex or confusing
Option:
o Have a volunteer deliver elevator speech to rest of team. Other members play roles of key
constituents (like engineering, marketing, management, etc.). Listen and critique speech.

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Force Field Analysis

What:
o Identifies Enablers & Restrainers to project implementation
o Identify enablers to strengthen and restrainers to lessen or eliminate
Why:
o Look at forces in internal and external environment that will make change last or hinder change
over long term
o Help team develop plans to ensure change becomes integrated into "fabric" of organization. Can
be applied to project as a whole, or a particular part of project.
When:
o Define: "predict" what will help or hinder project (assumptions should be validated a number of
times as project progresses)
o Analyze/Improve: Most effective when some significant work has already been done on overall
project and strong resistance has been encountered
Need:
o Easel sheets & Post-it Notes
How:
1. Pass Post-it notes to everyone and place two large easel sheets on wall labeled Enablers and
Restrainers
2. Ask everyone to identify things that will enable project and things that will restrain project and
place on sheets
3. Agree on an final collection of enablers and restrainers (sort out any people see quite differently;
"I see _______ as an enabler and you have it as a restrainer.")
4. Prioritize items on each list and pick those enablers team thinks can be further strengthened and
those restrainers they think must be lessened or eliminated
Option:
o Restrainers can be further studied for "root cause" using a Fishbone diagram technique or FMEA.

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G.R.P.I. Checklist

What:
o Assess project team status
o Challenge team to consider four critical and interrelated aspects of teamwork: Goals, Roles,
Process, Interpersonal
Why:
o Team tool to see how team is interacting
o Useful in identifying team disconnects
o Invaluable in helping a group become a team when newly formed or when exist but havent
looked at teamwork
o Get more information on whether team is in agreement than quick verbal check
When:
o During any phase
o Proactive: Use at end of first/second meeting to check if team is on same page
o Reactive: If something not right with team, use to identify discrepancies / disconnects
Need:
o G.R.P.I. checklist handout
How:
1. Distribute copies of G.R.P.I. checklist to team members
a. GOALS - How clear and in agreement are we on the mission and goals of our
team/projects?
b. ROLES - How well do we understand, agree on, and fulfill the roles and responsibilities
for our team?
c. PROCESSES - To what degree do we understand and agree on the way in which well
approach our project AND our team?
d. INTERPERSONAL - Are the relationships on our team working well so far? How is our
level of openness, trust and Acceptance?
2. Ask team members to individually fill out sheet
a. Place an X in one color where they think they are at related to the project
b. Place an X in another color where they think their team is at related to the project
c. Give checklist anonymously to team leader for aggregation
3. Meet as a group to discuss checklist discrepancies and to resolve issues
Tip:
o Can use to check on how team is working from time to time. Ask team members to vote on each
of the dimensions using a fist-to-five technique (five fingers = great; a fist = zero progress).

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In/Out of Frame

What:
o Defines what is in and out of project scope
Why:
o Useful in obtaining consensus
o Uncovers potential issues
o Brings discussion to higher level
When:
o During Define phase when working on project charter
o Keep results visible when working on all tools (Process Map, Cause & Effects Matrix, FMEA)
Need:
o Large sheet of paper on wall
o Post-it notes for all team members
How:
1. Draw box on large Post-it Easel Pad
2. Pass out 3x3 Post-it Notes to all team members
3. Each team member to write down what they believe of process, procedures, tools, practices to be
in and out of scope (do not write on note whether it is in scope or out of scope)
4. Team members to place their Post-it Notes:
a. outside of frame if topic is out of scope
b. inside of frame if topic is in scope
c. on frame if unsure
5. Silently move Post-it Notes based on their thoughts of whether topic is in scope, out of scope,
or unsure
6. When Post-it Notes are no longer moved, dialog with team on placement of topics to ensure reach
consensus
Tips:
o Update project charter to reflect final decisions
o Keep visible as work on project

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More Of/Less Of

What:
o Helps measure if people involved in your process have made necessary changes to sustain process
improvements
o About human behaviors, things people actually do
o Dont focus on changing attitudes people resist. Change expectations and behavior will change.
Why:
o What needs to be done in order for change to succeed?
o What do people need to do more of for the project gains to be achieved?
o What do people need to do less of for the project gains to be achieved?
o Uncovers potential issues
When:
o During Improve phase when working on determining what are needed behaviors and how dayto-day lives will be changed
Need:
o Large sheet of paper on wall
o Post-it notes for all team members
How:
1. Pass out 3x3 Post-it Notes to all team members
2. Each team member writes down what they believe are behaviors that are needed more of or less
of when the project is completed
3. Team members place their Post-it Notes under the headings More of or Less of
4. Once all Post-it Notes are on board, dialog with team on placement of items to ensure reach
consensus
5. Discuss how to ensure needed behavior changes will occur
Tips:
o Validate with key stakeholders to reflect final decisions
o Keep visible as work on improving project

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Polarity Map

What:
o Explore positives/negatives to each side of situation / improvement
o Put action plans in place to keep balance between positives of solutions with minimal time
spent in negative areas
Why:
o Helps clarify issues facing both sides and helps group plan actions that will keep them primarily
in positive quadrants of both viewpoints.
o Group (as a whole) needs to manage change dilemma on an ongoing basis. Keeping balance
between polarities is an ongoing management responsibility. We cannot ignore these issues.
When:
o Improve Identify different sides of situation; discuss positives and negatives
Need:
o Large easel sheets on wall
How:
1. Make two flip charts:
2. Title one sheet with first situation/solution and other sheet with second situation/solution
3. On each sheet, write Upside at top and Downside near middle
4. Each group brainstorms ideas to fill in their chart
5. Place each flip chart side by side so group can clearly see benefits and risks of both
6. Each group shares their list of upsides first (alternating groups) ask for input from other group
7. Each group shares their list of downsides second (alternating groups) ask for input from other
group
8. Remind them we want to stay focused on upsides of both scenarios!

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RACI Matrix

What:
o Assignment of roles and responsibilities
Why:
o Helps clarify role assignment
o Sorts out who is Responsible, Accountable, Consulted and Informed
o Brings order out of chaos especially for non-sequential processes
o Can be used for process steps, tasks, assignments, input variables.. To establish roles and
accountability
When:
o During any phase & on every project
 Define - Identify roles & responsibilities for project
 Measure - Identify roles & responsibilities for initial process map
 Improve - Identify roles & responsibilities for should process map or cross functional
process map (especially Business Process Redesign)
 Control - Communicate roles & responsibilities for should process map or cross
functional process map in control plan
Need:
o PC with RACI Matrix
How:
1. Determine purpose of doing RACI Matrix
 Identify roles & responsibilities for project
 Identify roles & responsibilities for initial process map
 Identify roles & responsibilities for should process map or cross functional process
map
 Communicate roles & responsibilities for should process map or cross functional
process map
2. Prior to completing RACI Matrix, create operational definitions for:
 Responsible people with ultimate responsibility for taking action to complete process
step or activity
 Accountable one person with ultimate accountability for making sure process step or
activity is completed
 Consultant consulting resource(s) for process step or activity
 Informed people to be kept informed on status of process step or activity
3. Across top of RACI Matrix list stakeholders
4. Down side of RACI Matrix list tasks or steps
Tips:
o Important to have team dialog while filling out RACI Matrix do not do alone
o Try to limit number of people responsible for a given process step, task, etc., after process is
improved

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Stakeholder Analysis

What:
o Helps team identify the stakeholders, what their issues are with the change, and what level of
supported is needed
o Team determines what are stakeholders issues and concerns, who can best influence each
individual, and how they are best influenced
Why:
o Understand who is affected by change (Stakeholders)
o Understand stakeholders reaction to change
o Plan effective influence strategy for successful change
When:
o During any phase & on every project
 Define Identify key stakeholders for project or identify key team members for project
or match teams expectations
 Measure Identify obstacles and support
 Control Identify key stakeholders for change
 Anytime When "bring on board" a new stakeholder who has just emerged
Need:
o PC with Stakeholder Analysis template
How:
1. Identify key stakeholders (limit to 8-12 people or groups). They should have control of critical
resources, could block, must approve, or own key work processes.
2. Down left side of chart list each stakeholder and discuss where each is currently in relation to
change initiative. Examine objective and subjective evidence (fact and opinion) of where
individual is at.
3. Discuss where each needs to be for change initiative to be successful. Remember, some
stakeholders need only be shifted from against to neutral.
4. List comments regarding stakeholders level of support and identify their (potential) issues with
change
5. Develop an influence strategy
 How does this person like to be informed? Picture person? Data person?
 What history has this person experienced that needs to be understood when talking with
them?
 Is there a part of the project this person could do which would help garner their support?
6. Assign influence strategy implementation tasks to specific individuals with dates/times for
completion

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Tips:
o Make sure include all players including customers
o Use with WIIFM and Enabler/Restrainer
o Not about being "good" or "bad rather about how key individuals view merits of required
changes
o Careful thought needs to be given to:
 Who will have most impact on stakeholder
 What is nature of message need to deliver
 How and when should influence process begin
o Some teams combine this discussion with formulation of their communication strategy/plan for
change
o Look for logical relationships between and among stakeholders in terms of who might assist team
in gaining support of others. For example, if a key stakeholder who is "supportive" is also a
"thought leader" for others on list, it might be useful to enlist his/her support in shaping thinking
of other against or neutral stakeholders.
o Totally worthless unless people can be honest
o Keep results within team

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Strengths, Weaknesses, Opportunities, Threats (SWOT)

What:
o Frame need for change as a threat and opportunity over both short and long term
o Get attention of key stakeholders in a way to ensure their involvement beyond what can be gained
from a short-term sense of urgency
Why:
o Build significant case for change for project
o Helps team frame need for change more broadly
When:
o Define Statement of need with clear sense of why change initiative is essential to do at this
point in time
Need:
o Easel sheets of paper
How:
1. Each team member picks one quadrant that represents the need for change for this project and
writes notes on why
2. Team members share their thoughts and dialog the similarities and differences
3. Each team member writes a couple sentence statement incorporating all of the quadrants stating
the need for change
4. All read their statements and team utilizes all statements to create a group statement that
encompasses the best of each individual effort
5. Modify statement to appeal to key stakeholders (sales, manufacturing, marketing, etc.).
Tips:
o Sometimes helpful to do this tool in partnership with Stakeholders Analysis
o Remember framing need for change is an iterative process. As project moves forward, more
information and perspectives will be gathered and should be factored into explaining need for
project.
o Different audiences or constituent groups will be attracted to different ways of framing need for
change. Team must learn how to communicate this need in a "language" that will appeal to
specific constituent group or individual.

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Team Composition Matrix
What:
 Use to identify who should be on the team.
 Use to identify what knowledge, skills, and abilities (KSAs) may be needed for project and to
identify potential gaps.
Why:
 To assure the team is comprised of member who can make the change happen.
When:
 Can be used early in project after project scope has started to take shape and direction.
 Use whenever team members leave/join the team.
Need:
 Excel template and PC
Steps:
 List names of potential team members and the critical knowledge, skills, and abilities (KSAs)
needed to accomplish team goals. Mark each area with an X where each person has a
competence.
 Review list of KSAs on spreadsheet.
 Add other KSAs as appropriate for your project.
 Consider skills of potential/current team members and determine which of the areas they have
strength(s).
 Determine where there are overlaps and which members are most versatile.
 Assess gaps, discuss possible solutions, and determine next steps.
 Contact selected team members.
Questions to ask:
 What are the strengths of the team?
 How long will it take the members to become a team?
 What will be the blind spots to the team?
 To increase effectiveness, what type might be invited to be a team member?
 Which types will have the most challenge communicating with others on the team?
 Who will be the translators on the team?
 What settings or tasks could use a team of this composition best?
 Who on the team has the potential to feel like an outsider?

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Team Performance Model

What:
o Identify specific team building needs each team member has or group needs
Why:
o Proactively begin to answer key questions of each step in model to accelerate team formation and
project completion
o Team leader send email to team with questions to informally check
When:
o During any phase
o When have problem on team and dont know what it is use G.R.P.I. Checklist first then model
o Proactively during team formation
o Link to team communication plan
Need:
o Questions
How:
1. Team leader send email to team with questions
 Stage 1 Orientation

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Why am I here?
Do I belong?
Can I contribute something worthwhile?
Do I want to be here?
Do I understand the task?
Can I throw in with the group/task?
Will my skills be used?
Will my unique point of view be
heard?

Stage 2 Building Trust

Who are you?


What will you expect of me?
Can you be relied upon?
Do you know your craft?
Can you maintain confidentiality?
Are you dedicated to the task?
Do you have ulterior motives?
Do you have hidden agendas?
Will you accept me as I am?
Will you accept my ideas?

Stage 3 Goal/Role Clarification

Precisely what must the team do?


Are all of the options surfaced?
Are all of the issues identified?
What are reasons for choosing among options?
Is there agreement on group goals?
Is the group operating from same premise?
Are goals clear?
Is there consensus on group purpose?
Is there consensus on group task issues?
Are personal goals clear, in the open?
Does the vision / mission exist to help organize work?

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Stage 4 Commitment

Is the team ready to act?


How do we manage the team?
Who has what responsibilities?
Are all responsibilities addressed?
Are role conflicts resolved?
Are responsibility gaps / overlaps resolved?
How (method) are responsibilities divided?
Have we chosen systems / processes / tools to manage the overall task?
Do we all understand the steps of the processes weve chosen to manage the task?
Do all own responsibility for success?
How do we handle stakeholders needs?
Who will address stakeholders?

Stage 5 Implementation

How will things be done?


Is there a project plan?
Who will do what, when, where?
Are non-must do tasks discarded?
Is task ambiguity minimized?
Are task sequence and timing correct?
Is there a mesh and balance in the tasks?
Is the schedule clear to all?
Do we get things done or just talk about it?
Is work integrated, not segmented?
Do members know the big picture and their fit?

Stage 6 High Performance

Does activity of the team flow?


Are boundaries and limits broken?
Is everyone in the groove, are things clicking?
Is activity focused and coordinated?
Is communication intuitive?
Is there evidence of synergy?
Is performance a result of crisis or work?
Is there openness, affinity and consistency of behavior?
Is striving for high performance a mistake?

Stage 7 Renewal

Why continue?
Answer positive renewed purpose
Answer negative frees us to be elsewhere
Rewards and recognition
Celebration and finalization

2. Team members send responded (anonymously) to team leader


3. Team discusses summarized responses

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Technical Political Cultural Analysis
What:
Use to identify, label and understand sources of resistance as either Technical, Political, or
Cultural.
Why:
Helps team to more clearly understand the nature of the resistance they will likely face and begin
to develop a strategy to eliminate or lessen it.
When:
Can be used early in project.
Should be used whenever a new source of resistance is identified. This tool will help the team to
understand the nature of the resistance.
Three Source Areas of Resistance
Technical (sunk costs, lack of skills, lack of critical resources, technology constraints, etc.)
Political (issues of power and authority, threats to the "old guard", even country specific
restrictions, etc.)
Cultural (norms, mindsets, habits, etc.).
Need:
Excel template and PC
Context Questions to Ask
How does the change fit with our business strategy?
What competing initiatives might there be?
What current internal and external events and activities are taking place?
What are the internal resource constraints?
How will the change impact most employees?
What are the critical customer needs/requirements?
What is the current competitive environment?
Culture Questions to Ask
How are decisions made and carried out, how are priorities set?
What actions are rewarded, and what actions are discouraged?
Based on past actions, how are people likely to react?
What assumptions and values drive the business?

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Transition Map

What:
o Identify what can go on during a transition
Why:
o Brainstorm with a team how they are thinking about a particular change
o Anonymously identify issues/challenges that may occur during transition
o As Gantt chart to help team during transition
When:
o Improve: Document potential issues and identify items needed for successful transition
o Control: Identifies implementation issues
Need:
o Large sheets of paper on wall
o Post-it notes
How:
1. Place 3 large sheets of paper on wall with titles of Ending, Crazy Time, Beginning
 Endings:

Define what is ending


Honor what got you to where you are
Finalize what wont be done any more, and how it will be handled
Take the best of the past with you but pack light

Beginnings:

Define new tasks and processes


Design how tasks and processes fit together and fit into the organization
Define peoples new roles
Define expected results
Define timelines
Select people for new jobs
Modify change plan as needed to succeed
Establish new accountability system

Neutral Zone/Crazy Time:

Plan to get people from current place to new place


Job, work group and team training
Communication of strategy, change plan and progress
Answer questions and create forums
Foster new work relationships needed

2. Pass out Post-it notes to team members


3. Ask team members to write two or more items for each easel sheet on change and place on sheets
4. As a group discuss notes and determine how to address / handle items

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WIIFM

What:
o Help define potential benefits which will help answer question Whats In It For Me?
(WIIFM)?
o Help people understand why they should do something or commit to a change How is this
going to help me, my team or my organization?
Why:
o Best used proactively to identify potential benefits for key stakeholders
o Links customers and their requirements
o Gets away from big picture to personal reason
o Most are after same goal, discover why disagree and find positive link
o Part of communication plan
o Use with Stakeholders Analysis while determining influence strategy for gaps
When:
o During any phase
 Define: recruiting people for team
 Measure/Analyze: explaining why need someones help or expertise; getting team
engaged in non-confrontational way
 Improve: engaging key stakeholders on change
 Control: implementing control plan
o Proactive: Identify potential benefits ahead of time and communicate early on
o Reactive: If key stakeholder is not engaged, use to identify why they arent and what need to do
to get them engaged
Need:
o Large sheets of easel paper
How:
1. Identify issue/change trying to implement
2. Identify key stakeholders
3. Identify potential benefits from the key stakeholders perspective

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Appendix 8 Keyboard Shortcuts
A variety of keyboard shortcuts exist in the software applications. The following are some of the more
common shortcuts.

Windows
Use a menu .............................................................................................Alt-underlined letter
Move from application to application.....................................................Alt-Tab
Move from application to application in reverse order...........................Shift-Alt-Tab
Navigate one character at a time.............................................................Arrow
Navigate one word at a time ...................................................................Ctrl-Arrow (L or R)
Navigate one paragraph at a time ...........................................................Ctrl-Arrow (Up or Down)
Select while navigating...........................................................................Shift
Move to beginning of line.......................................................................Home
Move to end of line.................................................................................End
Open the Start menu ...............................................................................Ctrl-Esc
Close application ....................................................................................Alt-F4
Close document ......................................................................................Ctrl-F4
Edit a filename........................................................................................F2
Copy screen ............................................................................................PrintScreen
Copy dialog box......................................................................................Alt-PrintScreen

Most Applications
New document........................................................................................Ctrl-N
Open document.......................................................................................Ctrl-O
Save ........................................................................................................Ctrl-S
Print ........................................................................................................Ctrl-P
Cut ..........................................................................................................Ctrl-X
Copy .......................................................................................................Ctrl-C
Paste........................................................................................................Ctrl-V
Bold ........................................................................................................Ctrl-B
Italics ......................................................................................................Ctrl-I
Underline ................................................................................................Ctrl-U
Find.........................................................................................................Ctrl-F
Replace ...................................................................................................Ctrl-H
Find again ...............................................................................................Ctrl-G
Undo .......................................................................................................Ctrl-Z
Redo........................................................................................................Ctrl-Y
Help ........................................................................................................F1

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Minitab
Session Window .....................................................................................Ctrl-M
Data Window..........................................................................................Ctrl-D
Edit last dialog box .................................................................................Ctrl-E
Move from window to window ..............................................................Ctrl-Tab
Reset dialog box .....................................................................................F3
Maximize a window ...............................................................................Alt-minus, X
Data Window
Top of column................................................................................Home
Bottom of column ..........................................................................End
Up a screen ....................................................................................PageUp
Down a screen................................................................................PageDown
Beginning of worksheet .................................................................Ctrl-Home
Last column, bottom-most row of worksheet ................................Ctrl-End
Current row in leftmost visible column .........................................Ctrl-PageUp
Current row in rightmost visible column .......................................Ctrl-PageDown
Session Window
Beginning of line ...........................................................................Home
End of line .....................................................................................End
Up a screen ....................................................................................PageUp
Down a screen................................................................................PageDown
Top of session window ..................................................................Ctrl-Home
Bottom of session window.............................................................Ctrl-End
Select columns........................................................................................Alt-Drag

Word
Beginning of line ....................................................................................Home
End of line ..............................................................................................End
Up a screen .............................................................................................PageUp
Down a screen ........................................................................................PageDown
Beginning of document...........................................................................Ctrl-Home
End of document.....................................................................................Ctrl-End
Left justify a paragraph...........................................................................Ctrl-L
Right justify ............................................................................................Ctrl-R
Center justify ..........................................................................................Ctrl-E
Justify left and right ................................................................................Ctrl-J
Increase font size ....................................................................................Ctrl-Shift->
Decrease font size ...................................................................................Ctrl-Shift-<
Superscript ..............................................................................................Ctrl-Shift-+
Subscript .................................................................................................Ctrl-Shift-=
Repeat last action....................................................................................F4
Spell-check .............................................................................................F7
Thesaurus................................................................................................Shift-F7
Select columns........................................................................................Alt-Drag

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PowerPoint
Insert new slide.......................................................................................Ctrl-M
Move from presentation to presentation .................................................Ctrl-Tab
Go to next slide (normal or presentation mode) .....................................PageDown
Go to previous slide (normal or presentation mode)...............................PageUp
Move between panes (outline, slide, notes) ............................................F6
Left justify a paragraph...........................................................................Ctrl-L
Right justify ............................................................................................Ctrl-R
Center justify ..........................................................................................Ctrl-E
Justify left and right ................................................................................Ctrl-J
Increase font size ....................................................................................Ctrl-Shift->
Decrease font size ...................................................................................Ctrl-Shift-<
Superscript ..............................................................................................Ctrl-Shift-+
Subscript .................................................................................................Ctrl-Shift-=
Repeat last action....................................................................................F4
Spell-check .............................................................................................F7
Begin slide show.....................................................................................F5
In slide show mode
See shortcut keys..........................................................................F1
Go to beginning of show..............................................................Home
Go to end of show ........................................................................End
Go to particular slide....................................................................Slide # - Enter
Black screen .................................................................................B
White screen ................................................................................W
In text boxes (Edit mode)
Beginning of line ...........................................................................Home
End of line .....................................................................................End
Beginning of text object.................................................................Ctrl-Home
End of text object...........................................................................Ctrl-End
Return to Object mode...................................................................Esc
In object mode:
Beginning of presentation..............................................................Home
End of presentation ........................................................................End
Move from object to object on slide ..............................................Tab
Select all text in selected object .....................................................Enter
Deselect object...............................................................................Esc
Move object ...................................................................................Arrow keys
Move in a straight line ...................................................................Shift-Drag (no handles)
Duplicate object .............................................................................Ctrl-Drag (no handles)
Shrink or expand from center ........................................................Ctrl-Drag (handles)
Shrink or expand proportionally .............................................................Shift drag (handles)

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Excel
Format cells ............................................................................................Ctrl-1
Move from document to document.........................................................Ctrl-Tab
Beginning of line ....................................................................................Home
Beginning of document...........................................................................Ctrl-Home
Bottom-right cell in worksheet ...............................................................Ctrl-End
Next tab ..................................................................................................Ctrl-PageDown
Previous tab ............................................................................................Ctrl-PageUp
Up a screen .............................................................................................PageUp
Down a screen ........................................................................................PageDown
Up a cell..................................................................................................Up Arrow
Down a cell.............................................................................................Down Arrow
Next cell right .........................................................................................Right Arrow
Next cell left ...........................................................................................Left Arrow
Topmost contiguous cell.........................................................................Ctrl-Up Arrow
Bottommost contiguous cell ...................................................................Ctrl-Down Arrow
Leftmost contiguous cell.........................................................................Ctrl-Left Arrow
Rightmost contguous cell .......................................................................Ctrl-Right Arrow
Calculate now .........................................................................................F9
Repeat the last action ..............................................................................F4
Enter and exit Edit mode ........................................................................F2
Edit mode:
Beginning of line in cell.................................................................Home
End of line in cell...........................................................................End
Beginning of cell............................................................................Ctrl-Home
End of cell......................................................................................Ctrl-End
Cycle fixed cell references ($) .......................................................F4

Lotus Notes
New memo..............................................................................................Ctrl-M
Move from window to window ..............................................................Ctrl-Tab
Check for new mail.................................................................................F9
Actions in horizontal or vertical tool bars...............................................Alt- appropriate keys

NetMeeting
Full-screen mode (toggle).......................................................................Alt-Enter
Refresh directory ....................................................................................F5
Open Sharing window ............................................................................Ctrl-S

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Appendix 9 Changing the Order of Categories/Groups in Minitab
Graphs
By default Minitab displays text data in graphs in alphabetical order. To change the order of text
categories/groups in Minitab graphs (this does not change the order of the categories/groups in the
Minitab worksheet) complete the following steps:
In Minitab:
1. Go to the Minitab worksheet and select the
column with the categories/groups.
2. Editor>Column>Value Order (you can also get
there with a right-mouse click).
3. Choose User-Specified Order.

4. If you find a convenient order in the left panel,


you can choose it. Otherwise, simply cut and
paste the values in the right panel so that they
appear in the order you wish.
5. If you have set graphs to automatically update,
they will update to the new order. If not, you'll
see a yellow symbol in the left title bar of the
graph. Do a right-mouse on it and you can
update the graph that way.

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Appendix 10 Project Management Basics

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Appendix 11 Roles and Responsibilities
Champion

Sets and maintains broad goals for improvement projects in area of responsibility
Owns the hopper process and their portion of the business Y tree and charters projects
Coaches and approves changes, if needed, in direction or scope of a project
Finds (and negotiates) resources for projects
Represents the team to the Leadership group and serves as its advocate (able to discuss current status
of the projects they champion)
Helps smooth out issues and overlaps that arise between teams or with people outside the team
Works with Process Owners to ensure a smooth handoff at the conclusion of the project (ensures that
control plan is effective in improving Y)
Responsible for functional project hopper
Regular reviews with Process Owner on key process inputs and outputs
Uses DMAIC tools in everyday problem solving
Responsible for team recognition

Process Owner

Maximizes high level process performance


Launches and sponsors improvement efforts (fills hopper with ideas and writes charters)
Tracks financial benefit of project (during the 12 month tracking period)
Understands key process inputs and outputs and their relationship to other processes
Key driver to achieve Six Sigma levels of quality, efficiency and flexibility for this process
Uses DMAIC tools in everyday problem solving
Participates on GB/BB teams
o Helps create/maintain control plan documentation and assigns responsibility for on-going use
of control plan
o Helps train process team in use of control plan
o Measures and monitors (SPC) Critical Xs and sustains effectiveness of control plan

Team Member

Participates with project leader (GB or BB)


Provides expertise on the process being addressed
Performs action items and tasks as identified
Uses DMAIC tools in everyday problem solving
Subject matter expert (SME)

Green Belt (GB)

Leads and/or participates on Six Sigma project teams


Identifies project opportunities within their organization
Know and applies Six Sigma methodologies and tools appropriately

Black Belt (BB)

Proficient in Six Sigma tools and their application


Leads/supports high impact projects to bottom line full-time
Directly supports MBBs culture change activities communicates Six Sigma methodology and tools
Shares best practices
Mentors and coaches Green Belts to optimize functioning of Six Sigma teams operating in
organization

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Facilitates, communicates, and teaches


Looks for applicability of tools and methods to areas outside of current focus
Supports Process Owners and Champions in hopper processes (as assigned)

Master Black Belt (MBB)

Owns Six Sigma deployment plan and project results for their organization
Ensures rigor in Six Sigma execution
Responsible for BB certification
Owns the Six Sigma project hopper and processes for the organization
Supervisor for DMAIC BBs; may be supervisor for DFSS BBs
Influences General Manager / Managing Director and Champions to support organizational
engagement
Leads culture change communicates Six Sigma methodology and tools
Leverages best practices
Supports Champions in managing project hoppers and project prioritization; Checks projects for
alignment with division / subsidiary / staff goals
Ensures that project progress check, gate review, and closing processes meet corporate requirements
and meet division needs
Develops BB talent and builds organizational capability through BBs and GBs
Supports timely Six Sigma project completion
Communicates, teaches, and coaches

Coach

Some businesses have coaches who support the GBs within their divisions. Other businesses use only
the Six Sigma Operation coaches who primarily coach the BBs.
Trains Green Belts with help from BBs and MBB
Coaches BBs and GBs in proper use of tools for project success
Is a consulting resource for project teams

Finance

Establishes common measures of project success


Signs off on calculation of project estimates and results
Confirms the Project Y objective as defined by the BB is appropriate and will result in hard savings
Provides ideas into the project hopper
Works with MBB, Champions, Managing Director / General Manager to quantify projects
Identifies risks and opportunities associated with projects

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Appendix 12 Business Process Redesign Choosing this Method
What is Business Process Redesign (BPR)?
Scrapping or significantly changing an existing process. BPR is about flow or function of Xs through
DMAIC. Disconnects are identified as flow or function problems.
Process Re-design Current work process does not meet project goal.
o BPR may be understood from the start of the project. A paradigm shift or system change is required
more than just a few inputs (Xs) need to be modified.
o BPR may be identified midway through the project. Discover the inputs (Xs) are not enough to
influence the change in Y or the desired outcome.
Process Design Desired work process does not exist.
o May be the situation is a rare case.
o May be a terminal Y task oriented projects with business case supporting decision.

When would I use BPR?


When processes are missing, ill-defined, misunderstood, undocumented, largely ignored, flawed, broken,
irreparable, maxed-out, fruitless, or when we cant get there from here.

How do I determine if I need BPR?


Process Improvement Matrix (PIM): Use this chart with project team to evaluate the overall process.
1. Use the definitions in each column (Use, Documented, Performance, Control of Xs, Process Owner)
to rate the process you are trying to improve. The lower the score per column, the more chaotic things
are and the more important it is to fix it.
2. Take the scores for each grouping (e.g. Process, Data, Process Owner) and average them to determine
an overall score for your current process. The lower the score, the more likely youll be redesigning
your process versus doing a less complex process improvement. Note: Regardless of the situation,
every process must have a process owner!

Process Action based on score: (overall process score)


5 improve process only if a must do (e.g. customer,
legal, $s)
4 work on only if bridge to entitlement has cost /
benefit
3 classic DMAIC process improvement project
2 process redesign
1 process design/creation (see the work as a process)

Rev 4.01

Data Action based on score: (Ys and Xs score)


5 use data as is
4 improve only if necessary
3 improve measurement / data collection system
2 re-design measurement / data collection system
1 design/create measurement / data collection
system

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